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A grave is a location where a dead body (typically that of a human, although sometimes that of an animal) is buried. Graves are usually located in special areas set aside for the purpose of burial, such as graveyards or cemeteries.[1]
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Certain details of a grave, such as the state of the body found within it and any objects found with the body, may provide information for archaeologists about how the body may have lived before its death, including the time period in which it lived and the culture that it had been a part of.
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In some religions, it is believed that the body must be burned for the soul to survive; in others, the complete decomposition of the body is considered to be important for the rest of the soul (see bereavement).
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The formal use of a grave involves several steps with associated terminology.
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The excavation that forms the grave.[2] Excavations vary from a shallow scraping to removal of topsoil to a depth of 6 feet (1.8 metres) or more where a vault or burial chamber is to be constructed. However, most modern graves in the United States are only 4 feet deep as the casket is placed into a concrete box (see burial vault) to prevent a sinkhole, to ensure the grave is strong enough to be driven over, and to prevent floating in the instance of a flood.
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The material dug up when the grave is excavated. It is often piled up close to the grave for backfilling and then returned to the grave to cover it. As soil decompresses when excavated and space is occupied by the burial not all the volume of soil fits back in the hole, so often evidence is found of remaining soil. In cemeteries this may end up as a thick layer of soil overlying the original ground surface.
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The body may be placed in a coffin or other container, in a wide range of positions, by itself or in a multiple burial, with or without personal possessions of the deceased.
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A vault is a structure built within the grave to receive the body. It may be used to prevent crushing of the remains, allow for multiple burials such as a family vault, retrieval of remains for transfer to an ossuary, or because it forms a monument.
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The soil returned to the grave cut following burial. This material may contain artifacts derived from the original excavation and prior site use, deliberately placed goods or artifacts or later material. The fill may be left level with the ground or mounded.
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Headstones are best known, but they can be supplemented by decorative edging, foot stones, posts to support items, a solid covering or other options.
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Graveyards were usually established at the same time as the building of the relevant place of worship (which can date back to the 8th to 14th centuries) and were often used by those families who could not afford to be buried inside or beneath the place of worship itself. In most cultures those who were vastly rich, had important professions, were part of the nobility or were of any other high social status were usually buried in individual crypts inside or beneath the relevant place of worship with an indication of the name of the deceased, date of death and other biographical data. In Europe this was often accompanied with a depiction of their family coat of arms.
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Later graveyards have been replaced by cemeteries.
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Anthony Charles Lynton Blair (born 6 May 1953) is a British politician who served as Prime Minister of the United Kingdom from 1997 to 2007 and Leader of the Labour Party from 1994 to 2007. After his resignation, he was appointed Special Envoy of the Quartet on the Middle East, an office which he held until 2015. He currently serves as the Executive Chairman of the Tony Blair Institute for Global Change.
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Blair was born in Edinburgh; his father, Leo, was a barrister and academic. After attending the independent school Fettes College, he studied law at St John's College, Oxford and became a barrister. He became involved in Labour politics and was elected Member of Parliament for Sedgefield in 1983. He supported moving the party to the centre of British politics in an attempt to help it win power (it had been out of government since 1979). He was appointed to the party's frontbench in 1988 and became Shadow Home Secretary in 1992. He became Leader of the Opposition on his election as Labour Party leader in 1994, following the sudden death of his predecessor, John Smith. Under Blair, the party used the phrase "New Labour" to distance itself from previous Labour politics and the traditional idea of socialism. He declared support for the Third Way—politics that recognised individuals as socially interdependent, advocating social justice, cohesion, the equal worth of each citizen, and equal opportunity. Despite opposition from Labour's hard left, he removed the party's formal commitment to the nationalisation of the economy, weakened trade union influence in the party, and committed to the free market and the European Union. In 1997, the Labour Party won its largest landslide general election victory in its history. Blair became the country's youngest leader since 1812 and remains the party's longest-serving occupant of the office. Labour won two more general elections under his leadership—in 2001, in which it won another landslide victory (albeit with the lowest turnout since 1918), and in 2005, with a greatly reduced majority. He resigned as Prime Minister and Leader of the Labour Party in 2007 and was succeeded by Gordon Brown, who had been his Chancellor of the Exchequer since 1997.
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Blair's governments enacted constitutional reforms, removing most hereditary peers from the House of Lords, while also establishing the UK's Supreme Court and reforming the office of Lord Chancellor (thereby separating judicial powers from the legislative and executive branches). His government held referendums in which Scottish and Welsh electorates voted in favour of devolved administration, paving the way for the establishment of the Scottish Parliament and Welsh Parliament (both in 1999). He was also involved in negotiating the Good Friday Agreement. His time in office occurred during a period of continued economic growth, but this became increasingly dependent on mounting debt. In 1997, his government gave the Bank of England powers to set interest rates autonomously and he later oversaw a large increase in public spending, especially in healthcare and education. He championed multiculturalism and, between 1997 and 2007, immigration rose considerably, especially after his government welcomed immigration from the new EU member states in 2004. This provided a cheap and flexible labour supply but also fuelled Euroscepticism, especially among some of his party's core voters. His other social policies were generally progressive; he introduced the National Minimum Wage Act 1998, the Human Rights Act 1998 and the Freedom of Information Act 2000, and in 2004 allowed gay couples to enter into civil partnerships. However, he declared himself "tough on crime, tough on the causes of crime" and oversaw increasing incarceration rates and new anti-social behaviour legislation, despite contradictory evidence about the change in crime rates.
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Blair oversaw British interventions in Kosovo (1999) and Sierra Leone (2000) which were generally perceived as successful. During the War on Terror, he supported the foreign policy of the George W. Bush administration and ensured that the British Armed Forces participated in the War in Afghanistan from 2001 and, more controversially, the 2003 invasion of Iraq. The latter became increasingly unpopular among the British public, and he was criticised by opponents and (in 2016) the Iraq Inquiry for waging an unjustified and unnecessary invasion. He was in office when the 7/7 bombings took place (2005) and introduced a range of anti-terror legislation. His legacy remains controversial, not least because of his interventions in the Afghanistan and Iraq wars. Despite his electoral successes and reforms, he has also been criticised for his relationship with the media, centralisation of executive powers, and aspects of his social and economic policies.
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Anthony Charles Lynton Blair was born at Queen Mary Maternity Home in Edinburgh, Scotland,[1] on 6 May 1953.[2][3] He was the second son of Leo and Hazel (née Corscadden) Blair.[4] Leo Blair was the illegitimate son of two entertainers and was adopted as a baby by Glasgow shipyard worker James Blair and his wife, Mary.[5] Hazel Corscadden was the daughter of George Corscadden, a butcher and Orangeman who moved to Glasgow in 1916. In 1923, he returned to (and later died in) Ballyshannon, County Donegal. In Ballyshannon, Corscadden's wife, Sarah Margaret (née Lipsett), gave birth above the family's grocery shop to Blair's mother, Hazel.[6][7]
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Blair has an older brother, Sir William Blair, a High Court judge, and a younger sister, Sarah. Blair's first home was with his family at Paisley Terrace in the Willowbrae area of Edinburgh. During this period, his father worked as a junior tax inspector whilst also studying for a law degree from the University of Edinburgh.[1]
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Blair's first relocation was when he was nineteen months old. At the end of 1954, Blair's parents and their two sons moved from Paisley Terrace to Adelaide, South Australia.[8] His father lectured in law at the University of Adelaide.[9] It was when in Australia that Blair's sister Sarah was born. The Blairs lived in the suburb of Dulwich close to the university. The family returned to the United Kingdom in the summer of 1958. They lived for a time with Hazel's mother and stepfather (William McClay) at their home in Stepps on the outskirts of north-east Glasgow. Blair's father accepted a job as a lecturer at Durham University, and thus moved the family to Durham, England. Aged five, this marked the beginning of a long association Blair was to have with Durham.[8]
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Since his childhood, Tony Blair has been a fan of Newcastle United football team.[10][11][12]
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With his parents basing their family in Durham, Blair attended Chorister School from 1961 to 1966.[13] Aged thirteen, he was sent to spend his school term time boarding at Fettes College in Edinburgh from 1966 to 1971.[14] Blair is reported to have hated his time at Fettes.[15] His teachers were unimpressed with him; his biographer, John Rentoul, reported that "All the teachers I spoke to when researching the book said he was a complete pain in the backside and they were very glad to see the back of him."[14] Blair reportedly modelled himself on Mick Jagger, lead singer of The Rolling Stones.[16] During his time there he met Charlie Falconer (a pupil at the rival Edinburgh Academy), whom he later appointed Lord Chancellor.
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Leaving Fettes College at the age of eighteen, Blair next spent a year in London attempting to find fame as a rock music promoter.[citation needed]
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In 1972, at the age of nineteen, Blair enrolled for university at St John's College, Oxford, reading Jurisprudence for three years.[17] As a student, he played guitar and sang in a rock band called Ugly Rumours,[18] and performed some stand-up comedy, including parodying James T. Kirk as a character named Captain Kink.[19] He was influenced by fellow student and Anglican priest Peter Thomson, who awakened his religious faith and left-wing politics. While at Oxford, Blair has stated that he was briefly a Trotskyist, after reading the first volume of Isaac Deutscher's biography of Leon Trotsky, which was "like a light going on".[20][21] He graduated from Oxford at the age of 22 in 1975 with a second-class Honours B.A. in Jurisprudence.[22][23]
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In 1975, while Blair was at Oxford, his mother Hazel died aged 52 of thyroid cancer, which greatly affected him.[24]
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After Oxford, Blair then became a member of Lincoln's Inn and enrolled as a pupil barrister. He met his future wife, Cherie Booth (daughter of the actor Tony Booth) at the law chambers founded by Derry Irvine (who was to be Blair's first Lord Chancellor), 11 King's Bench Walk Chambers.[25]
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Blair joined the Labour Party shortly after graduating from Oxford in 1975. In the early 1980s, he was involved in Labour politics in Hackney South and Shoreditch, where he aligned himself with the "soft left" of the party. He put himself forward as a candidate for the Hackney council elections of 1982 in Queensbridge ward, a safe Labour area, but was not selected.[26]
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In 1982, Blair was selected as the Labour Party candidate for the safe Conservative seat of Beaconsfield, where there was a forthcoming by-election.[27] Although Blair lost the Beaconsfield by-election and Labour's share of the vote fell by 10 percentage points, he acquired a profile within the party.[citation needed] Despite his defeat, William Russell, political correspondent for The Glasgow Herald, described Blair as "a very good candidate", while acknowledging that the result was "a disaster" for the Labour Party.[28] In contrast to his later centrism, Blair made it clear in a letter he wrote to Labour leader Michael Foot in July 1982 (published in 2006) that he had "come to Socialism through Marxism" and considered himself on the left.[29] Like Tony Benn, Blair believed that "Labour right" was bankrupt:[30] "Socialism ultimately must appeal to the better minds of the people. You cannot do that if you are tainted overmuch with a pragmatic period in power."[29][30] Yet, he saw the hard left as no better, saying:
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There is an arrogance and self-righteousness about many of the groups on the far left which is deeply unattractive to the ordinary would-be member ... There's too much mixing only with people [with] whom they agree.[29][30]
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With a general election due, Blair had not been selected as a candidate anywhere. He was invited to stand again in Beaconsfield, and was initially inclined to agree but was advised by his head of chambers Derry Irvine to find somewhere else which might be winnable.[31] The situation was complicated by the fact that Labour was fighting a legal action against planned boundary changes, and had selected candidates on the basis of previous boundaries. When the legal challenge failed, the party had to rerun all selections on the new boundaries; most were based on existing seats, but unusually in County Durham a new Sedgefield constituency had been created out of Labour-voting areas which had no obvious predecessor seat.[32]
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The selection for Sedgefield did not begin until after the 1983 general election was called. Blair's initial inquiries discovered that the left was trying to arrange the selection for Les Huckfield, sitting MP for Nuneaton who was trying elsewhere; several sitting MPs displaced by boundary changes were also interested in it. When he discovered the Trimdon branch had not yet made a nomination, Blair visited them and won the support of the branch secretary John Burton, and with Burton's help was nominated by the branch. At the last minute, he was added to the shortlist and won the selection over Huckfield. It was the last candidate selection made by Labour before the election, and was made after the Labour Party had issued biographies of all its candidates ("Labour's Election Who's Who").[33]
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John Burton became Blair's election agent and one of his most trusted and longest-standing allies.[34] Blair's election literature in the 1983 general election endorsed left-wing policies that Labour advocated in the early 1980s.[citation needed] He called for Britain to leave the EEC[35] as early as the 1970s,[36] though he had told his selection conference that he personally favoured continuing membership[citation needed] and voted "Yes" in the 1975 referendum on the subject. He opposed the Exchange Rate Mechanism (ERM) in 1986 but supported the ERM by 1989.[37] He was a member of the Campaign for Nuclear Disarmament, despite never strongly being in favour of unilateral nuclear disarmament.[38] Blair was helped on the campaign trail by soap opera actress Pat Phoenix, his father-in-law's girlfriend. At the age of thirty, he was elected as MP for Sedgefield in 1983; despite the party's landslide defeat at the general election.[citation needed]
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In his maiden speech in the House of Commons on 6 July 1983, Blair stated, "I am a socialist not through reading a textbook that has caught my intellectual fancy, nor through unthinking tradition, but because I believe that, at its best, socialism corresponds most closely to an existence that is both rational and moral. It stands for cooperation, not confrontation; for fellowship, not fear. It stands for equality."[39]
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Once elected, Blair's political ascent was rapid. He received his first front-bench appointment in 1984 as assistant Treasury spokesman. In May 1985, he appeared on BBC's Question Time, arguing that the Conservative Government's Public Order White Paper was a threat to civil liberties.[40]
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Blair demanded an inquiry into the Bank of England's decision to rescue the collapsed Johnson Matthey bank in October 1985. By this time, Blair was aligned with the reforming tendencies in the party (headed by leader Neil Kinnock) and was promoted after the 1987 election to the Shadow Trade and Industry team as spokesman on the City of London.[citation needed]
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In 1987, he stood for election to the Shadow Cabinet, receiving 71 votes.[41] When Kinnock resigned after a fourth consecutive Conservative victory in the 1992 general election, Blair became Shadow Home Secretary under John Smith. The old guard argued that trends showed they were regaining strength under Smith's strong leadership. Meanwhile, the breakaway SDP faction had merged with the Liberal Party; the resulting Liberal Democrats seemed to pose a major threat to the Labour base. Blair, the leader of the modernising faction, had an entirely different vision, arguing that the long-term trends had to be reversed. The Labour Party was too locked into a base that was shrinking, since it was based on the working-class, on trade unions, and on residents of subsidised council housing. The rapidly growing middle-class was largely ignored, especially the more ambitious working-class families. They aspired to middle-class status, but accepted the Conservative argument that Labour was holding ambitious people back with its levelling-down policies. They increasingly saw Labour in terms defined by the opposition, regarding higher taxes and higher interest rates. The steps towards what would become New Labour were procedural, but essential. Calling on the slogan, "One member, one vote" John Smith (with limited input from Blair) secured an end to the trade union block vote for Westminster candidate selection at the 1993 conference.[42] But Blair and the modernisers wanted Smith to go further still, and called for radical adjustment of Party goals by repealing "Clause IV," the historic commitment to nationalisation of industry. This would be achieved in 1995.[43]
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John Smith died suddenly in 1994 of a heart attack. Blair defeated John Prescott and Margaret Beckett in the subsequent leadership election and became Leader of the Opposition.[44] As is customary for the holder of that office, Blair was appointed a Privy Councillor.[45]
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Blair announced at the end of his speech at the 1994 Labour Party conference that he intended to replace Clause IV of the party's constitution with a new statement of aims and values.[44] This involved the deletion of the party's stated commitment to "the common ownership of the means of production and exchange", which was widely interpreted as referring to wholesale nationalisation.[44][46] At a special conference in April 1995, the clause was replaced by a statement that the party is "democratic socialist",[46][47][48] and Blair also claimed to be a "democratic socialist" himself in the same year.[49] However, the move away from nationalisation in the old Clause IV made many on the left-wing of the Labour Party feel that Labour was moving away from traditional socialist principles of nationalisation set out in 1918, and was seen by them as part of a shift of the party towards "New Labour".[50]
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He inherited the Labour leadership at a time when the party was ascendant over the Conservatives in the opinion polls, since the Conservative government's reputation for monetary excellence record was left in tatters by the Black Wednesday economic disaster of September 1992. Blair's election as leader saw Labour support surge higher still[51] in spite of the continuing economic recovery and fall in unemployment that the Conservative government (led by John Major) had overseen since the end of the 1990–92 recession.[51] At the 1996 Labour Party conference, Blair stated that his three top priorities on coming to office were "education, education, and education".[52]
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Aided by the unpopularity of John Major's Conservative government (itself deeply divided over the European Union),[53] "New Labour" won a landslide victory at the 1997 general election, ending eighteen years of Conservative Party rule, with the heaviest Conservative defeat since 1906.[54]
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According to diaries released by Paddy Ashdown, during Smith's leadership of the Labour Party, there were discussions with Ashdown about forming a coalition government if the next general election resulted in a hung parliament. Ashdown also claimed that Blair was a supporter of proportional representation (PR).[55] In addition to Ashdown, Liberal Democrat MPs Menzies Campbell and Alan Beith were earmarked for places in the cabinet if a Labour-Lib Dem coalition was formed.[56] Blair was forced to back down on these proposals because John Prescott and Gordon Brown opposed the PR system, and many members of the Shadow Cabinet were worried about concessions being made towards the Lib Dems.[56] In the event, virtually every opinion poll since late-1992 put Labour ahead with enough support to form an overall majority.[57]
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Blair became the Prime Minister of the United Kingdom on 2 May 1997, serving concurrently as First Lord of the Treasury, Minister for the Civil Service and Leader of the Labour Party. Aged 43, Blair became the youngest person to become Prime Minister since Lord Liverpool became Prime Minister aged 42 in 1812.[58] He was also the first Prime Minister born after World War II and the accession of Elizabeth II to the throne. With victories in 1997, 2001, and 2005, Blair was the Labour Party's longest-serving Prime Minister,[59] and the first and only person to date to lead the party to three consecutive general election victories.[60]
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His contribution towards assisting the Northern Ireland peace process by helping to negotiate the Good Friday Agreement (after 30 years of conflict) was widely recognised.[61][62] Following the Omagh bombing on 15 August 1998, by members of the Real IRA opposed to the peace process, which killed 29 people and wounded hundreds, Blair visited the County Tyrone town and met with victims at Royal Victoria Hospital, Belfast.[63]
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In his first six years in office, Blair ordered British troops into combat five times, more than any other prime minister in British history. This included Iraq in both 1998 and 2003, Kosovo (1999), Sierra Leone (2000) and Afghanistan (2001).[64]
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The Kosovo War, which Blair had advocated on moral grounds, was initially a failure when it relied solely on air strikes; the threat of a ground offensive convinced Serbia's Slobodan Milošević to withdraw. Blair had been a major advocate for a ground offensive, which Bill Clinton was reluctant to do, and ordered that 50,000 soldiers – most of the available British Army – should be made ready for action.[65] The following year, the limited Operation Palliser in Sierra Leone swiftly swung the tide against the rebel forces; before deployment, the United Nations Mission in Sierra Leone had been on the verge of collapse.[66] Palliser had been intended as an evacuation mission but Brigadier David Richards was able to convince Blair to allow him to expand the role; at the time, Richards' action was not known and Blair was assumed to be behind it.[67]
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Blair ordered Operation Barras, a highly successful SAS/Parachute Regiment strike to rescue hostages from a Sierra Leone rebel group.[68] Historian Andrew Marr has argued that the success of ground attacks, real and threatened, over air strikes alone was influential on how Blair planned the Iraq War, and that the success of the first three wars Blair fought "played to his sense of himself as a moral war leader".[69] When asked in 2010 if the success of Palliser may have "embolden[ed] British politicians" to think of military action as a policy option, General Sir David Richards admitted there "might be something in that".[67]
|
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From the start of the War on Terror in 2001, Blair strongly supported the foreign policy of George W. Bush, participating in the 2001 invasion of Afghanistan and 2003 invasion of Iraq. The invasion of Iraq was particularly controversial, as it attracted widespread public opposition and 139 of Blair's own MPs opposed it.[70]
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As a result, he faced criticism over the policy itself and the circumstances of the decision. Alastair Campbell described Blair's statement that the intelligence on WMDs was "beyond doubt" as his "assessment of the assessment that was given to him."[71] In 2009, Blair stated that he would have supported removing Saddam Hussein from power even in the face of proof that he had no such weapons.[72] Playwright Harold Pinter and former Malaysian Prime Minister Mahathir Mohamad accused Blair of war crimes.[73][74]
|
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+
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Testifying before the Iraq Inquiry on 29 January 2010, Blair said Saddam was a "monster and I believe he threatened not just the region but the world."[75] Blair said that British and American attitude towards Saddam Hussein had "changed dramatically" after the 11 September attacks. Blair denied that he would have supported the invasion of Iraq even if he had thought Saddam had no weapons of mass destruction. He said he believed the world was safer as a result of the invasion.[76] He said there was "no real difference between wanting regime change and wanting Iraq to disarm: regime change was US policy because Iraq was in breach of its UN obligations."[77] In an October 2015 CNN interview with Fareed Zakaria, Blair apologised for his "mistakes" over Iraq War and admitted there were "elements of truth" to the view that the invasion helped promote the rise of ISIS.[78] The Chilcot Inquiry report of 2016 gave a damning assessment of Blair's role in the Iraq War, though the former prime minister again refused to apologise for his decision to back the US-led invasion.[79]
|
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+
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One of his first acts as Prime Minister, was to replace the then twice-weekly 15-minute sessions of Prime Minister's Questions held on Tuesdays and Thursdays with a single 30-minute session on Wednesdays. In addition to PMQs, Blair held monthly press conferences at which he fielded questions from journalists[80] and – from 2002 – broke precedent by agreeing to give evidence twice yearly before the most senior Commons select committee, the Liaison Committee.[81] Blair was sometimes perceived as paying insufficient attention both to the views of his own Cabinet colleagues and to those of the House of Commons.[82][83] His style was sometimes criticised as not that of a prime minister and head of government, which he was, but of a president and head of state – which he was not.[84] Blair was accused of excessive reliance on spin.[85][86] He is the first UK prime minister to have been formally questioned by police, though not under caution, while still in office.[87]
|
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+
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As the casualties of the Iraq War mounted, Blair was accused of misleading Parliament,[88][89] and his popularity dropped dramatically.[90][91]
|
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+
|
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Labour's overall majority at the 2005 general election was reduced from 167 to 66 seats. As a combined result of the Blair–Brown pact, Iraq war and low approval ratings, pressure built up within the Labour Party for Blair to resign.[92][93] Over the summer of 2006 many MPs, including usually supportive MPs, criticised Blair for not calling for a ceasefire in the 2006 Israel–Lebanon conflict.[94] On 7 September 2006, Blair publicly stated he would step down as party leader by the time of the Trades Union Congress (TUC) conference held 10–13 September 2007,[95] having promised to serve a full term during the previous general election campaign. On 10 May 2007, during a speech at the Trimdon Labour Club, Blair announced his intention to resign as both Labour Party leader and Prime Minister.[citation needed]
|
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At a special party conference in Manchester on 24 June 2007, he formally handed over the leadership of the Labour Party to Gordon Brown, who had been Chancellor of the Exchequer under Blair's three ministries.[96] Blair tendered his resignation on 27 June 2007 and Brown assumed office during the same afternoon. Blair resigned from his Sedgfield seat in the House of Commons in the traditional form of accepting the Stewardship of the Chiltern Hundreds, to which he was appointed by Gordon Brown in one of the latter's last acts as Chancellor of the Exchequer.[97] The resulting Sedgefield by-election was won by Labour's candidate, Phil Wilson. Blair decided not to issue a list of Resignation Honours, making him the first Prime Minister of the modern era not to do so.[98]
|
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In 2001, Blair said, "We are a left of centre party, pursuing economic prosperity and social justice as partners and not as opposites".[99] Blair rarely applies such labels to himself, but he promised before the 1997 election that New Labour would govern "from the radical centre", and according to one lifelong Labour Party member, has always described himself as a social democrat.[100] However, at least one left-wing commentator has said that Blair is to the right of centre.[101] A YouGov opinion poll in 2005 found that a small majority of British voters, including many New Labour supporters, place Blair on the right of the political spectrum.[102] The Financial Times on the other hand has argued that Blair is not conservative, but instead a populist.[103]
|
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|
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Critics and admirers tend to agree that Blair's electoral success was based on his ability to occupy the centre ground and appeal to voters across the political spectrum, to the extent that he has been fundamentally at odds with traditional Labour Party values. Some left-wing critics, such as Mike Marqusee in 2001, argued that Blair oversaw the final stage of a long term shift of the Labour Party to the right.[104]
|
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There is some evidence that Blair's long term dominance of the centre forced his Conservative opponents to shift a long distance to the left to challenge his hegemony there.[105] Leading Conservatives of the post-New Labour era hold Blair in high regard: George Osborne describes him as "the master", Michael Gove thought he had an "entitlement to conservative respect" in February 2003, while David Cameron reportedly maintained Blair as an informal adviser.[106][107][108]
|
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+
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Blair increased police powers by adding to the number of arrestable offences, compulsory DNA recording and the use of dispersal orders.[109] Under Blair's government the amount of new legislation increased[110] which attracted criticism.[111] He also introduced tough anti-terrorism and identity card legislation.
|
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+
|
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During his time as prime minister, Blair raised taxes; introduced a National Minimum Wage and some new employment rights (while keeping Margaret Thatcher's trade union reforms[112]); introduced significant constitutional reforms; promoted new rights for gay people in the Civil Partnership Act 2004; and signed treaties integrating Britain more closely with the EU. He introduced substantial market-based reforms in the education and health sectors; introduced student tuition fees and sought to reduce certain categories of welfare payments. He did not reverse the privatisation of the railways enacted by his predecessor John Major and instead strengthened regulation (by creating the Office of Rail Regulation) and limited fare rises to inflation +1%.[113][114][115]
|
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Blair and Brown raised spending on the NHS and other public services, increasing spending from 39.9% of GDP to 48.1% in 2010–11.[117][118] They pledged in 2001 to bring NHS spending to the levels of other European countries, and doubled spending in real terms to over £100 billion in England alone.[119]
|
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Non-European immigration rose significantly during the period from 1997, not least because of the government's abolition of the primary purpose rule in June 1997.[120] This change made it easier for UK residents to bring foreign spouses into the country.
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The former government advisor Andrew Neather in the Evening Standard stated that the deliberate policy of ministers from late 2000 until early 2008 was to open up the UK to mass migration.[121][122] Neather later stated that his words had been twisted, saying: "The main goal was to allow in more migrant workers at a point when - hard as it is to imagine now - the booming economy was running up against skills shortages.... Somehow this has become distorted by excitable Right-wing newspaper columnists into being a "plot" to make Britain multicultural. There was no plot."[123]
|
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Blair criticised other governments for not doing enough to solve global climate change. In a 1997 visit to the United States, he made a comment on "great industrialised nations" that fail to reduce greenhouse gas emissions. Again in 2003, Blair went before the United States Congress and said that climate change "cannot be ignored", insisting "we need to go beyond even Kyoto."[124] Blair and his party promised a 20% reduction in carbon dioxide.[125] The Labour Party also claimed that by 2010 10% of the energy would come from renewable resources; however, it only reached 7% by that point.[126]
|
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In 2000, Blair "flagged up" 100 million euros for green policies and urged environmentalists and businesses to work together.[127]
|
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+
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+
Blair built his foreign policy on basic principles (close ties with U.S. and E.U.) and added a new activist philosophy of "interventionism". In 2001 Britain joined the U.S. in the global war on terror.[128]
|
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|
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+
Blair forged friendships with several European leaders, including Silvio Berlusconi of Italy,[129] Angela Merkel of Germany[130] and later Nicolas Sarkozy of France.[131]
|
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+
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Along with enjoying a close relationship with Bill Clinton, Blair formed a strong political alliance with George W. Bush, particularly in the area of foreign policy. For his part, Bush lauded Blair and the UK. In his post-9/11 speech, for example, he stated that "America has no truer friend than Great Britain".[132]
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The alliance between Bush and Blair seriously damaged Blair's standing in the eyes of Britons angry at American influence.[133] Blair argued it was in Britain's interest to "protect and strengthen the bond" with the United States regardless of who is in the White House.[134]
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However, a perception of one-sided compromising personal and political closeness led to discussion of the term "Poodle-ism" in the UK media, to describe the "Special Relationship" of the UK government and Prime Minister with the US White House and President.[135] A revealing conversation between Bush and Blair, with the former addressing the latter as "Yo [or Yeah], Blair" was recorded when they did not know a microphone was live at the G8 summit in Saint Petersburg in 2006.[136] In September 2019, during a panel discussion on the annual Yalta European Strategy forum, Blair said that the Western Countries should not neglect Ukraine in relations to the Russian Federation.[137]
|
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On 30 January 2003, Blair signed The letter of the eight supporting U.S. policy on Iraq.[138]
|
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Blair showed a deep feeling for Israel, born in part from his faith.[139] Blair has been a longtime member of the pro-Israel lobby group Labour Friends of Israel.[140]
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In 1994, Blair forged close ties with Michael Levy, a leader of the Jewish Leadership Council.[141] Levy ran the Labour Leader's Office Fund to finance Blair's campaign before the 1997 election and raised £12 million towards Labour's landslide victory, Levy was rewarded with a peerage, and in 2002, Blair appointed Lord Levy as his personal envoy to the Middle East. Levy praised Blair for his "solid and committed support of the State of Israel".[142] Tam Dalyell, while Father of the House of Commons, suggested in 2003 that Blair's foreign policy decisions were unduly influenced by a "cabal" of Jewish advisers, including Levy, Peter Mandelson and Jack Straw (the last two are not Jewish but have some Jewish ancestry).[143]
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Blair, on coming to office, had been "cool towards the right-wing Netanyahu government".[144] During his first visit to Israel, Blair thought the Israelis bugged him in his car.[145] After the election in 1999 of Ehud Barak, with whom Blair forged a close relationship, he became much more sympathetic to Israel.[144] From 2001, Blair built up a relationship[clarification needed] with Barak's successor, Ariel Sharon, and responded positively to Arafat, whom he had met thirteen times since becoming prime minister and regarded as essential to future negotiations.[144] In 2004, 50 former diplomats, including ambassadors to Baghdad and Tel Aviv, stated they had "watched with deepening concern" at Britain following the US into war in Iraq in 2003. They criticised Blair's support for the road map for peace which included the retaining of Israeli settlements on the West Bank.[146]
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In 2006 Blair was criticised for his failure to immediately call for a ceasefire in the 2006 Lebanon War. The Observer newspaper claimed that at a cabinet meeting before Blair left for a summit with Bush on 28 July 2006, a significant number of ministers pressured Blair to publicly criticise Israel over the scale of deaths and destruction in Lebanon.[147] Blair was criticised for his solid stance alongside US President George W. Bush on Middle East policy.[148]
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A Freedom of Information request by The Sunday Times in 2012 revealed that Blair's government considered knighting Syria's President Bashar al-Assad. The documents showed Blair was willing to appear alongside Assad at a joint press conference even though the Syrians would probably have settled for a farewell handshake for the cameras; British officials sought to manipulate the media to portray Assad in a favourable light; and Blair's aides tried to help Assad's "photogenic" wife boost her profile. The newspaper noted:
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The Arab leader was granted audiences with the Queen and the Prince of Wales, lunch with Blair at Downing Street, a platform in parliament and many other privileges ... The red carpet treatment he and his entourage received is embarrassing given the bloodbath that has since taken place under his rule in Syria ... The courtship has parallels with Blair's friendly relations with Muammar Gaddafi.[149]
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Blair had been on friendly terms with Colonel Gaddafi, the leader of Libya, when sanctions imposed on the country were lifted by the US and the UK.[150][151]
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+
Even after the Libyan Civil War in 2011, he said he had no regrets about his close relationship with the late Libyan leader.[152] During Blair's premiership, MI6 rendered Abdelhakim Belhadj to the Gaddafi regime in 2004, though Blair later claimed he had "no recollection" of the incident.[153]
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Blair had an antagonistic relationship with Zimbabwean President Robert Mugabe and allegedly planned regime change against Mugabe in the early 2000s.[154] Zimbabwe had embarked on a program of uncompensated land redistribution from the country's white commercial farmers to the black population, a policy that disrupted agricultural production and threw Zimbabwe's economy into chaos. General Charles Guthrie, the Chief of the Defence Staff, revealed in 2007 that he and Blair had discussed the invasion of Zimbabwe.[155] Guthrie advised against military action: "Hold hard, you'll make it worse."[155] In 2013, South African President Thabo Mbeki said that Blair had pressured South Africa to join in a "regime change scheme, even to the point of using military force" in Zimbabwe.[154] Mbeki refused because he felt that "Mugabe is part of the solution to this problem."[154] However, a spokesman for Blair said that "he never asked anyone to plan or take part in any such military intervention."[154]
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Blair was reported by The Guardian in 2006 to have been supported politically by Rupert Murdoch, the founder of the News Corporation organisation.[156] In 2011, Blair became Godfather to one of Rupert Murdoch's children with Wendi Deng,[157] but he and Murdoch later ended their friendship, in 2014, after Murdoch suspected him of having an affair with Deng while they were still married, according to The Economist magazine.[158][159][160][better source needed]
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A Cabinet Office freedom of information response, released the day after Blair handed over power to Gordon Brown, documents Blair having various official phone calls and meetings with Rupert Murdoch of News Corporation and Richard Desmond of Northern and Shell Media.[161]
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The response includes contacts "clearly of an official nature" in the specified period, but excludes contacts "not clearly of an official nature."[162] No details were given of the subjects discussed. In the period between September 2002 and April 2005, Blair and Murdoch are documented speaking 6 times; three times in the 9 days before the Iraq War, including the eve of 20 March US and UK invasion, and on 29 January 25 April and 3 October 2004. Between January 2003 and February 2004, Blair had three meetings with Richard Desmond; on 29 January and 3 September 2003 and 23 February 2004.[163]
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The information was disclosed after a 3 1⁄2-year battle by the Liberal Democrats' Lord Avebury.[161] Lord Avebury's initial October 2003 information request was dismissed by then leader of the Lords, Baroness Amos.[161] A following complaint was rejected, with Downing Street claiming the information compromised free and frank discussions, while Cabinet Office claimed releasing the timing of the PM's contacts with individuals is undesirable, as it might lead to the content of the discussions being disclosed.[161] While awaiting a following appeal from Lord Avebury, the cabinet office announced that it would release the information. Lord Avebury said: "The public can now scrutinise the timing of his (Murdoch's) contacts with the former Prime Minister, to see whether they can be linked to events in the outside world."[161]
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Blair appeared before the Leveson Inquiry on Monday 28 May 2012.[164] During his appearance, a protester, later named as David Lawley-Wakelin, got into the court-room and claimed he was guilty of war crimes before being dragged out.[165]
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Blair has been noted as a charismatic, articulate speaker with an informal style.[44] Film and theatre director Richard Eyre opined that "Blair had a very considerable skill as a performer".[166] A few months after becoming Prime Minister Blair gave a tribute to Diana, Princess of Wales, on the morning of her death in August 1997, in which he famously described her as "the People's Princess".[167][168]
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+
After taking office in 1997, Blair gave particular prominence to his press secretary, who became known as the Prime Minister's Official Spokesman (the two roles have since been separated). Blair's first PMOS was Alastair Campbell, who served in that role from May 1997 to 8 June 2001, after which he served as the Prime Minister's Director of Communications and Strategy until his resignation on 29 August 2003 in the aftermath of the Hutton Inquiry.[169]
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Blair had close relationships with the Clinton family. The strong partnership with Bill Clinton was made into the film "The Special Relationship" in 2010.[170]
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Blair's apparent refusal to set a date for his departure was criticised by the British press and Members of Parliament. It has been reported that a number of cabinet ministers believed that Blair's timely departure from office would be required to be able to win a fourth election.[171] Some ministers viewed Blair's announcement of policy initiatives in September 2006 as an attempt to draw attention away from these issues.[171]
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After the death of John Smith in 1994, Blair and his close colleague Gordon Brown (they shared an office at the House of Commons[44]) were both seen as possible candidates for the party leadership. They agreed not to stand against each other, it is said, as part of a supposed Blair–Brown pact. Brown, who considered himself the senior of the two, understood that Blair would give way to him: opinion polls soon indicated, however, that Blair appeared to enjoy greater support among voters.[172] Their relationship in power became so turbulent that (it was reported) the deputy prime minister, John Prescott, often had to act as "marriage guidance counsellor".[173]
|
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During the 2010 election campaign Blair publicly endorsed Gordon Brown's leadership, praising the way he had handled the financial crisis.[174]
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+
On 27 June 2007, Blair officially resigned as Prime Minister after ten years in office, and he was officially confirmed as Middle East envoy for the United Nations, European Union, United States, and Russia.[175] Blair originally indicated that he would retain his parliamentary seat after his resignation as Prime Minister came into effect; however, on being confirmed for the Middle East role he resigned from the Commons by taking up an office of profit.[97] President George W. Bush had preliminary talks with Blair to ask him to take up the envoy role. White House sources stated that "both Israel and the Palestinians had signed up to the proposal".[176][177] In May 2008 Blair announced a new plan for peace and for Palestinian rights, based heavily on the ideas of the Peace Valley plan.[178] Blair resigned as envoy in May 2015.[179]
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In January 2008, it was confirmed that Blair would be joining investment bank JPMorgan Chase in a "senior advisory capacity"[180] and that he would advise Zurich Financial Services on climate change. His salary for this work is unknown, although it has been claimed it may be in excess of £500,000 per year.[180] Blair also gives lectures, earning up to US$250,000 for a 90-minute speech, and in 2008 he was said to be the highest paid speaker in the world.[181]
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Blair taught a course on issues of faith and globalisation at the Yale University Schools of Management and Divinity as a Howland distinguished fellow during the 2008–09 academic year. In July 2009, this accomplishment was followed by the launching of the Faith and Globalisation Initiative with Yale University in the US, Durham University in the UK, and the National University of Singapore in Asia, to deliver a postgraduate programme in partnership with the Foundation.[182]
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Blair's links with, and receipt of an undisclosed sum from, UI Energy Corporation, have also been subject to media comment in the UK.[183]
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In July 2010 it was reported that his personal security guards claimed £250,000 a year in expenses from the tax payer, Foreign Secretary William Hague said; "we have to make sure that [Blair's security] is as cost-effective as possible, that it doesn't cost any more to the taxpayer than is absolutely necessary".[184]
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Blair established Tony Blair Associates to "allow him to provide, in partnership with others, strategic advice on a commercial and pro bono basis, on political and economic trends and governmental reform".[185] The profits from the firm go towards supporting Blair's "work on faith, Africa and climate change".[186]
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Blair has been subject to criticism for potential conflicts of interest between his diplomatic role as a Middle East envoy, and his work with Tony Blair Associates,[187][188][189] and a number of prominent critics have even called for him to be sacked.[190] Blair has used his Quartet Tony Blair Associates works with the Kazakhstan government, advising the regime on judicial, economic and political reforms, but has been subject to criticism after accusations of "whitewashing" the image and human rights record of the regime.[191]
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Blair responded to such criticism by saying his choice to advise the country is an example of how he can "nudge controversial figures on a progressive path of reform", and has stated that he receives no personal profit from this advisory role.[192] The Kazakhstan foreign minister said that the country was "honoured and privileged" to be receiving advice from Blair.[193][194] A letter obtained by The Daily Telegraph in August 2014 revealed Blair had given damage-limitation advice to Nazarbayev after the December 2011 Zhanaozen massacre.[195] Blair was reported to have accepted a business advisory role with President Abdel Fattah el-Sisi of Egypt, a situation deemed incompatible with his role as Middle East envoy. Blair described the report as "nonsense".[196][197]
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In November 2007 Blair launched the Tony Blair Sports Foundation, which aims to "increase childhood participation in sports activities, especially in the North East of England, where a larger proportion of children are socially excluded, and to promote overall health and prevent childhood obesity."[198] On 30 May 2008, Blair launched the Tony Blair Faith Foundation as a vehicle for encouraging different faiths to join together in promoting respect and understanding, as well as working to tackle poverty. Reflecting Blair's own faith but not dedicated to any particular religion, the Foundation aims to "show how faith is a powerful force for good in the modern world". "The Foundation will use its profile and resources to encourage people of faith to work together more closely to tackle global poverty and conflict," says its mission statement.[199]
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In February 2009 he applied to set up a charity called the Tony Blair Africa Governance Initiative: the application was approved in November 2009.[200] In October 2012 Blair's foundation hit controversy when it emerged they were taking on unpaid interns.[201]
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In December 2016, Blair created the Tony Blair Institute to promote global outlooks by governments and organisations.[202][203]
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In March 2010, it was reported that Blair's memoirs, titled The Journey, would be published in September 2010.[204] In July 2010 it was announced the memoirs would be retitled A Journey.[205] The memoirs were seen by many as controversial and a further attempt to profit from his office and from acts related to overseas wars that were widely seen as wrong,[206][207][208] leading to anger and suspicion prior to launch.[207]
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On 16 August 2010 it was announced that Blair would give the £4.6 million advance and all royalties from his memoirs to the Royal British Legion – the charity's largest ever single donation.[206][209]
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Media analysis of the sudden announcement was wide-ranging, describing it as an act of "desperation" to obtain a better launch reception of a humiliating "publishing flop"[210] that had languished in the ratings,[206][210] "blood money" for the lives lost in the Iraq and Afghanistan wars,[206][208] an act with a "hidden motive" or an expression of "guilt",[206][207] a "genius move" to address the problem that "Tony Blair ha[d] one of the most toxic brands around" from a PR perspective, and a "cynical stunt to wipe the slate", but also as an attempt to make amends.[210] Friends had said that the act was partly motivated by the wish to "repair his reputation".[206]
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The book was published on 1 September and within hours of its launch had become the fastest-selling autobiography of all time.[211] On 3 September Blair gave his first live interview since publication on The Late Late Show in Ireland, with protesters lying in wait there for him.[212] On 4 September Blair was confronted by 200 anti-war and hardline Irish nationalist demonstrators before the first book signing of his memoirs at Eason's bookstore on O'Connell Street in Dublin, with angry activists chanting "war criminal" and that he had "blood on his hands", and clashing with Irish Police (Garda Síochána) as they tried to break through a security cordon outside the Eason's store. Blair was pelted with eggs and shoes, and encountered an attempted citizen's arrest for war crimes.[213]
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Since the Iraq War, Blair has been the subject of war crimes accusations. Critics of his actions, including Bishop Desmond Tutu,[214] Harold Pinter[215] and Arundhati Roy[216] have called for his trial at the International Criminal Court.
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In November 2011, a war crimes tribunal of the Kuala Lumpur War Crimes Commission, established by Malaysia's former and current Prime Minister Mahathir Mohamad, reached a unanimous conclusion that Blair and George W. Bush are guilty of crimes against peace, crimes against humanity, and genocide as a result of their roles in the 2003 Iraq War. The proceedings lasted for four days, and consisted of five judges of judicial and academic backgrounds, a tribunal-appointed defence team in lieu of the defendants or representatives, and a prosecution team including international law professor Francis Boyle.[217]
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In September 2012, Desmond Tutu suggested that Blair should follow the path of former African leaders who had been brought before the International Criminal Court in The Hague.[214] The human rights lawyer Geoffrey Bindman, interviewed on BBC radio, concurred with Tutu's suggestion that there should be a war crimes trial.[218] In a statement made in response to Tutu's comments, Blair defended his actions.[214] He was supported by Lord Falconer, who stated that the war had been authorised by United Nations Security Council Resolution 1441.[218]
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In July 2017, former Iraqi general Abdulwaheed al-Rabbat launched a case, in the High Court in London, calling for Tony Blair, former foreign secretary Jack Straw and former attorney general Lord Goldsmith to be prosecuted for "the crime of aggression". No such crime exists in England and Wales and the case was therefore dismissed.[219][220]
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The Chilcot report after the conclusion of the Iraq Inquiry was issued on 6 July 2016 and it criticised Blair for joining the US in the war in Iraq in 2003. Afterwards, Blair issued a statement and held a two-hour press conference to apologise and to justify the decisions he had made in 2003 "in good faith" and denying allegations that the war had led to a significant increase in terrorism.[221] He acknowledged that the report made "real and material criticisms of preparation, planning, process and of the relationship with the United States" but cited sections of the report that he said "should lay to rest allegations of bad faith, lies or deceit". He stated: "whether people agree or disagree with my decision to take military action against Saddam Hussein; I took it in good faith and in what I believed to be the best interests of the country. ... I will take full responsibility for any mistakes without exception or excuse. I will at the same time say why, nonetheless, I believe that it was better to remove Saddam Hussein and why I do not believe this is the cause of the terrorism we see today whether in the Middle East or elsewhere in the world".[222][223]
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Blair wrote in an op-ed published by The Washington Post on 8 February 2019: "Where Iran is exercising military interference, it should be strongly pushed back. Where it is seeking influence, it should be countered. Where its proxies operate, it should be held responsible. Where its networks exist, they should be disrupted. Where its leaders are saying what is unacceptable, they should be exposed. Where the Iranian people — highly educated and connected, despite their government — are protesting for freedom, they should be supported."[224] The Tony Blair Institute for Global Change warned of growing Iranian threat.[225] The Tony Blair Institute confirmed that it has received donations from the U.S. State Department and Saudi Arabia.[226][227]
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Blair did not want the UK to leave the EU. Blair had called for a referendum on the Brexit withdrawal agreement. Blair also maintained, that once the terms deciding how the UK leaves the EU were known the people should vote again on those terms. Blair stated, "We know the options for Brexit. Parliament will have to decide on one of them. If Parliament can’t then it should decide to go back to the people."[228]
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Blair was interviewed in June 2020 for an article in the American magazine The Atlantic on European views of U.S. foreign policy following the COVID-19 pandemic and resulting recession, increased tensions in Sino-American relations, and the George Floyd protests. He affirmed his belief in the continued strength of American soft power and the need to address Iranian military aggression, European defence budgets, and Chinese trade. He said, however, "I think it’s fair to say a lot of political leaders in Europe are dismayed by what they see as the isolationism growing in America and the seeming indifference to alliances. But I think there will come a time when America decides in its own interest to reengage, so I’m optimistic that America will in the end understand that this is not about relegating your self-interest behind the common interest; it’s an understanding that by acting collectively in alliance with others you promote your own interests." Blair warned that structural issues plaguing American domestic policy needed to be addressed imminently.[229]
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Blair married Cherie Booth, a Roman Catholic, who would later become a Queen's Counsel, on 29 March 1980.[230] They have four children: Euan, Nicholas, Kathryn, and Leo.[231] Leo, delivered by the Royal Surgeon/Gynaecologist Marcus Setchell, was the first legitimate child born to a serving Prime Minister in over 150 years – since Francis Russell was born to Lord John Russell on 11 July 1849.[232] All four children have Irish passports, by virtue of Blair's mother, Hazel Elizabeth Rosaleen Corscaden (1923–1975).[233] The family's primary residence is in Connaught Square; the Blairs own eight residences in total.[234]
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His first grandchild (a girl) was born in October 2016.[235]
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Blair's financial assets are structured in a complicated manner, and as such estimates of their extent vary widely.[236] These include figures of up to £100 million. Blair stated in 2014 that he was worth "less than £20 million".[237] A 2015 assertion, by Francis Beckett, David Hencke and Nick Kochan, concluded that Blair had acquired $90 million and a property portfolio worth $37.5 million in the eight years since he had left office.[238]
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In an interview with Michael Parkinson broadcast on ITV1 on 4 March 2006, Blair referred to the role of his Christian faith in his decision to go to war in Iraq, stating that he had prayed about the issue, and saying that God would judge him for his decision: "I think if you have faith about these things, you realise that judgement is made by other people ... and if you believe in God, it's made by God as well."[239]
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According to Press Secretary Alastair Campbell's diary, Blair often read the Bible before taking any important decisions. He states that Blair had a "wobble" and considered changing his mind on the eve of the bombing of Iraq in 1998.[240]
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A longer exploration of his faith can be found in an interview with Third Way Magazine. There he says that "I was brought up as [a Christian], but I was not in any real sense a practising one until I went to Oxford. There was an Australian priest at the same college as me who got me interested again. In a sense, it was a rediscovery of religion as something living, that was about the world around me rather than some sort of special one-to-one relationship with a remote Being on high. Suddenly I began to see its social relevance. I began to make sense of the world".[241]
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At one point Alastair Campbell intervened in an interview, preventing the Prime Minister from answering a question about his Christianity, explaining, "We don't do God."[242] Campbell later said that he had intervened only to end the interview because the journalist had been taking an excessive time, and that the comment had just been a throwaway line.[243]
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Cherie Blair's friend and "spiritual guru" Carole Caplin is credited with introducing her and her husband to various New Age symbols and beliefs, including "magic pendants" known as "BioElectric Shields".[244] The most controversial of the Blairs' New Age practices occurred when on holiday in Mexico. The couple, wearing only bathing costumes, took part in a rebirthing procedure, which involved smearing mud and fruit over each other's bodies while sitting in a steam bath.[245]
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Later on, Blair questioned the Pope's attitude towards homosexuality, arguing that religious leaders must start "rethinking" the issue.[246] Blair was reprimanded by Cardinal Basil Hume in 1996 for receiving Holy Communion at Mass, while still an Anglican, in contravention of canon law.[247] On 22 December 2007, it was disclosed that Blair had joined the Roman Catholic Church. The move was described as "a private matter".[248][249] He had informed Pope Benedict XVI on 23 June 2007 that he wanted to become a Catholic. The Pope and his advisors criticised some of Blair's political actions, but followed up with a reportedly unprecedented red-carpet welcome, which included the Cardinal Archbishop of Westminster, Cormac Murphy-O'Connor, who would be responsible for Blair's Catholic instruction.[250] In 2010, The Tablet named him as one of Britain's most influential Roman Catholics.[251]
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In 2014, Vanity Fair and The Economist published allegations that Blair had had an extramarital affair with Wendi Deng, who was then married to Rupert Murdoch.[160][252] Blair categorically denied the allegations.[159][160]
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Blair made an animated cameo appearance as himself in The Simpsons episode, "The Regina Monologues" (2003).[253] He has also appeared as himself at the end of the first episode of The Amazing Mrs Pritchard, a British television series about an unknown housewife becoming Prime Minister. On 14 March 2007, Blair appeared as a celebrity judge on Masterchef Goes Large after contestants had to prepare a three-course meal in the Downing Street kitchens for Blair and Bertie Ahern.[254] On 16 March 2007, Blair featured in a comedy sketch with Catherine Tate, who appeared in the guise of her character Lauren Cooper from The Catherine Tate Show. The sketch was made for the BBC Red Nose Day fundraising programme of 2007. During the sketch, Blair used Lauren's catchphrase "Am I bovvered?"[255]
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Michael Sheen has portrayed Blair three times, in the films The Deal (2003), The Queen (2006), and The Special Relationship (2009). Robert Lindsay portrayed Blair in the TV programme A Very Social Secretary (2005), and reprised the role in The Trial of Tony Blair (2007). He was also portrayed by James Larkin in The Government Inspector (2005), and by Ioan Gruffudd in W. (2008). In the 2006 Channel 4 comedy drama documentary, Tony Blair: Rock Star, he was portrayed by Christian Brassington.[256]
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When Blair resigned as Prime Minister, Robert Harris, a former Fleet Street political editor, dropped his other work to write The Ghost. The CIA-influenced British prime minister in the book is said to be a thinly disguised version of Blair.[257] The novel was filmed as The Ghost Writer with Pierce Brosnan portraying the Blair character, Adam Lang. Stephen Mangan portrays Blair in The Hunt for Tony Blair (2011), a one-off The Comic Strip Presents... satire presented in the style of a 1950s film noir. In the film, he is wrongly implicated in the deaths of Robin Cook and John Smith and on the run from Inspector Hutton.[258] In 2007, the scenario of a possible war crimes trial for the former British prime minister was satirised by the British broadcaster Channel 4, in a "mockumentary", The Trial of Tony Blair, with concluded with the fictional Blair being dispatched to the Hague.[259]
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In May 2007, before his resignation, it was speculated that Blair would be offered a knighthood in the Order of the Thistle, owing to his Scottish connections (rather than the Order of the Garter, which is usually offered to former Prime Ministers).[261] Blair reportedly indicated that he did not want the traditional knighthood or peerage bestowed on former prime ministers.[262]
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On 22 May 2008, Blair received an honorary law doctorate from Queen's University Belfast, alongside former Taoiseach Bertie Ahern, for distinction in public service and roles in the Northern Ireland peace process.[263]
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On 13 January 2009, Blair was awarded the Presidential Medal of Freedom by President George W. Bush.[264] Bush stated that Blair was given the award "in recognition of exemplary achievement and to convey the utmost esteem of the American people"[265] and cited Blair's support for the War on Terror and his role in achieving peace in Northern Ireland as two reasons for justifying his being presented with the award.[266]
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On 16 February 2009, Blair was awarded the Dan David Prize by Tel Aviv University for "exceptional leadership and steadfast determination in helping to engineer agreements and forge lasting solutions to areas in conflict". He was awarded the prize in May 2009.[267][268]
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On 13 September 2010, Blair was awarded the Liberty Medal at the National Constitution Center in Philadelphia, Pennsylvania.[269] It was presented by former President Bill Clinton, and is awarded annually to men and women of courage and conviction who strive to secure the blessings of liberty to people around the globe.[269]
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On 8 July 2010, Blair was awarded the Order of Freedom by the President of Kosovo, Fatmir Sejdiu.[270] As Blair is credited as being instrumental in ending the conflict in Kosovo, some boys born in the country following the war have been given the name Toni or Tonibler.[271]
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A tornado is a rapidly rotating column of air that is in contact with both the surface of the Earth and a cumulonimbus cloud or, in rare cases, the base of a cumulus cloud. The windstorm is often referred to as a twister, whirlwind or cyclone,[1] although the word cyclone is used in meteorology to name a weather system with a low-pressure area in the center around which, from an observer looking down toward the surface of the earth, winds blow counterclockwise in the Northern Hemisphere and clockwise in the Southern.[2] Tornadoes come in many shapes and sizes, and they are often visible in the form of a condensation funnel originating from the base of a cumulonimbus cloud, with a cloud of rotating debris and dust beneath it. Most tornadoes have wind speeds less than 110 miles per hour (180 km/h), are about 250 feet (80 m) across, and travel a few miles (several kilometers) before dissipating. The most extreme tornadoes can attain wind speeds of more than 300 miles per hour (480 km/h), are more than two miles (3 km) in diameter, and stay on the ground for dozens of miles (more than 100 km).[3][4][5]
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Various types of tornadoes include the multiple vortex tornado, landspout, and waterspout. Waterspouts are characterized by a spiraling funnel-shaped wind current, connecting to a large cumulus or cumulonimbus cloud. They are generally classified as non-supercellular tornadoes that develop over bodies of water, but there is disagreement over whether to classify them as true tornadoes. These spiraling columns of air frequently develop in tropical areas close to the equator and are less common at high latitudes.[6] Other tornado-like phenomena that exist in nature include the gustnado, dust devil, fire whirl, and steam devil.
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Tornadoes occur most frequently in North America (particularly in central and southeastern regions of the United States colloquially known as tornado alley),[7] Southern Africa, northwestern and southeast Europe, western and southeastern Australia, New Zealand, Bangladesh and adjacent eastern India, and southeastern South America.[8] Tornadoes can be detected before or as they occur through the use of Pulse-Doppler radar by recognizing patterns in velocity and reflectivity data, such as hook echoes or debris balls, as well as through the efforts of storm spotters.
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There are several scales for rating the strength of tornadoes. The Fujita scale rates tornadoes by damage caused and has been replaced in some countries by the updated Enhanced Fujita Scale. An F0 or EF0 tornado, the weakest category, damages trees, but not substantial structures. An F5 or EF5 tornado, the strongest category, rips buildings off their foundations and can deform large skyscrapers. The similar TORRO scale ranges from T0 for extremely weak tornadoes to T11 for the most powerful known tornadoes.[9] Doppler radar data, photogrammetry, and ground swirl patterns (trochoidal marks) may also be analyzed to determine intensity and assign a rating.[10][11]
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The word tornado comes from the Spanish word tornado (past participle of to turn, or to have torn).[12][13] Tornadoes' opposite phenomena are the widespread, straight-line derechoes (/dəˈreɪtʃoʊ/, from Spanish: derecho [deˈɾetʃo], "straight"). A tornado is also commonly referred to as a "twister" or the old-fashioned colloquial term cyclone.[14][15] The term "cyclone" is used as a synonym for "tornado" in the often-aired 1939 film The Wizard of Oz. The term "twister" is also used in that film, along with being the title of the 1996 tornado-related film Twister. In the film, Preacher, one of Jo's crew members, calls the strongest kind of tornado, the F5/EF5, the "Finger of God", due to the F5/EF5 having the power to kill people, like God casting His final judgement on them on whether they live or die from the tornado.
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A tornado is "a violently rotating column of air, in contact with the ground, either pendant from a cumuliform cloud or underneath a cumuliform cloud, and often (but not always) visible as a funnel cloud".[16] For a vortex to be classified as a tornado, it must be in contact with both the ground and the cloud base. The term is not precisely defined; for example, there is disagreement as to whether separate touchdowns of the same funnel constitute separate tornadoes.[5] Tornado refers to the vortex of wind, not the condensation cloud.[17][18]
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A tornado is not necessarily visible; however, the intense low pressure caused by the high wind speeds (as described by Bernoulli's principle) and rapid rotation (due to cyclostrophic balance) usually cause water vapor in the air to condense into cloud droplets due to adiabatic cooling. This results in the formation of a visible funnel cloud or condensation funnel.[19]
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There is some disagreement over the definition of a funnel cloud and a condensation funnel. According to the Glossary of Meteorology, a funnel cloud is any rotating cloud pendant from a cumulus or cumulonimbus, and thus most tornadoes are included under this definition.[20] Among many meteorologists, the 'funnel cloud' term is strictly defined as a rotating cloud which is not associated with strong winds at the surface, and condensation funnel is a broad term for any rotating cloud below a cumuliform cloud.[5]
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Tornadoes often begin as funnel clouds with no associated strong winds at the surface, and not all funnel clouds evolve into tornadoes. Most tornadoes produce strong winds at the surface while the visible funnel is still above the ground, so it is difficult to discern the difference between a funnel cloud and a tornado from a distance.[5]
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Occasionally, a single storm will produce more than one tornado, either simultaneously or in succession. Multiple tornadoes produced by the same storm cell are referred to as a "tornado family".[21] Several tornadoes are sometimes spawned from the same large-scale storm system. If there is no break in activity, this is considered a tornado outbreak (although the term "tornado outbreak" has various definitions). A period of several successive days with tornado outbreaks in the same general area (spawned by multiple weather systems) is a tornado outbreak sequence, occasionally called an extended tornado outbreak.[16][22][23]
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Most tornadoes take on the appearance of a narrow funnel, a few hundred yards (meters) across, with a small cloud of debris near the ground. Tornadoes may be obscured completely by rain or dust. These tornadoes are especially dangerous, as even experienced meteorologists might not see them.[24] Tornadoes can appear in many shapes and sizes.
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Small, relatively weak landspouts may be visible only as a small swirl of dust on the ground. Although the condensation funnel may not extend all the way to the ground, if associated surface winds are greater than 40 mph (64 km/h), the circulation is considered a tornado.[17] A tornado with a nearly cylindrical profile and relative low height is sometimes referred to as a "stovepipe" tornado. Large tornadoes which appear at least as wide as their cloud-to-ground height can look like large wedges stuck into the ground, and so are known as "wedge tornadoes" or "wedges".[25] The "stovepipe" classification is also used for this type of tornado if it otherwise fits that profile. A wedge can be so wide that it appears to be a block of dark clouds, wider than the distance from the cloud base to the ground. Even experienced storm observers may not be able to tell the difference between a low-hanging cloud and a wedge tornado from a distance. Many, but not all major tornadoes are wedges.[25]
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Tornadoes in the dissipating stage can resemble narrow tubes or ropes, and often curl or twist into complex shapes. These tornadoes are said to be "roping out", or becoming a "rope tornado". When they rope out, the length of their funnel increases, which forces the winds within the funnel to weaken due to conservation of angular momentum.[26] Multiple-vortex tornadoes can appear as a family of swirls circling a common center, or they may be completely obscured by condensation, dust, and debris, appearing to be a single funnel.[27]
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In the United States, tornadoes are around 500 feet (150 m) across on average and travel on the ground for 5 miles (8.0 km).[24] However, there is a wide range of tornado sizes. Weak tornadoes, or strong yet dissipating tornadoes, can be exceedingly narrow, sometimes only a few feet or couple meters across. One tornado was reported to have a damage path only 7 feet (2.1 m) long.[24] On the other end of the spectrum, wedge tornadoes can have a damage path a mile (1.6 km) wide or more. A tornado that affected Hallam, Nebraska on May 22, 2004, was up to 2.5 miles (4.0 km) wide at the ground, and a tornado in El Reno, Oklahoma on May 31, 2013 was approximately 2.6 miles (4.2 km) wide, the widest on record.[4][28]
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In terms of path length, the Tri-State Tornado, which affected parts of Missouri, Illinois, and Indiana on March 18, 1925, was on the ground continuously for 219 miles (352 km). Many tornadoes which appear to have path lengths of 100 miles (160 km) or longer are composed of a family of tornadoes which have formed in quick succession; however, there is no substantial evidence that this occurred in the case of the Tri-State Tornado.[22] In fact, modern reanalysis of the path suggests that the tornado may have begun 15 miles (24 km) further west than previously thought.[29]
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Tornadoes can have a wide range of colors, depending on the environment in which they form. Those that form in dry environments can be nearly invisible, marked only by swirling debris at the base of the funnel. Condensation funnels that pick up little or no debris can be gray to white. While traveling over a body of water (as a waterspout), tornadoes can turn white or even blue. Slow-moving funnels, which ingest a considerable amount of debris and dirt, are usually darker, taking on the color of debris. Tornadoes in the Great Plains can turn red because of the reddish tint of the soil, and tornadoes in mountainous areas can travel over snow-covered ground, turning white.[24]
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Lighting conditions are a major factor in the appearance of a tornado. A tornado which is "back-lit" (viewed with the sun behind it) appears very dark. The same tornado, viewed with the sun at the observer's back, may appear gray or brilliant white. Tornadoes which occur near the time of sunset can be many different colors, appearing in hues of yellow, orange, and pink.[14][31]
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Dust kicked up by the winds of the parent thunderstorm, heavy rain and hail, and the darkness of night are all factors that can reduce the visibility of tornadoes. Tornadoes occurring in these conditions are especially dangerous, since only weather radar observations, or possibly the sound of an approaching tornado, serve as any warning to those in the storm's path. Most significant tornadoes form under the storm's updraft base, which is rain-free,[32] making them visible.[33] Also, most tornadoes occur in the late afternoon, when the bright sun can penetrate even the thickest clouds.[22] Night-time tornadoes are often illuminated by frequent lightning.
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There is mounting evidence, including Doppler on Wheels mobile radar images and eyewitness accounts, that most tornadoes have a clear, calm center with extremely low pressure, akin to the eye of tropical cyclones. Lightning is said to be the source of illumination for those who claim to have seen the interior of a tornado.[34][35][36]
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Tornadoes normally rotate cyclonically (when viewed from above, this is counterclockwise in the northern hemisphere and clockwise in the southern). While large-scale storms always rotate cyclonically due to the Coriolis effect, thunderstorms and tornadoes are so small that the direct influence of the Coriolis effect is unimportant, as indicated by their large Rossby numbers. Supercells and tornadoes rotate cyclonically in numerical simulations even when the Coriolis effect is neglected.[37][38] Low-level mesocyclones and tornadoes owe their rotation to complex processes within the supercell and ambient environment.[39]
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Approximately 1 percent of tornadoes rotate in an anticyclonic direction in the northern hemisphere. Typically, systems as weak as landspouts and gustnadoes can rotate anticyclonically, and usually only those which form on the anticyclonic shear side of the descending rear flank downdraft (RFD) in a cyclonic supercell.[40] On rare occasions, anticyclonic tornadoes form in association with the mesoanticyclone of an anticyclonic supercell, in the same manner as the typical cyclonic tornado, or as a companion tornado either as a satellite tornado or associated with anticyclonic eddies within a supercell.[41]
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Tornadoes emit widely on the acoustics spectrum and the sounds are caused by multiple mechanisms. Various sounds of tornadoes have been reported, mostly related to familiar sounds for the witness and generally some variation of a whooshing roar. Popularly reported sounds include a freight train, rushing rapids or waterfall, a nearby jet engine, or combinations of these. Many tornadoes are not audible from much distance; the nature of and the propagation distance of the audible sound depends on atmospheric conditions and topography.
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The winds of the tornado vortex and of constituent turbulent eddies, as well as airflow interaction with the surface and debris, contribute to the sounds. Funnel clouds also produce sounds. Funnel clouds and small tornadoes are reported as whistling, whining, humming, or the buzzing of innumerable bees or electricity, or more or less harmonic, whereas many tornadoes are reported as a continuous, deep rumbling, or an irregular sound of "noise".[42]
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Since many tornadoes are audible only when very near, sound is not to be thought of as a reliable warning signal for a tornado. Tornadoes are also not the only source of such sounds in severe thunderstorms; any strong, damaging wind, a severe hail volley, or continuous thunder in a thunderstorm may produce a roaring sound.[43]
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Tornadoes also produce identifiable inaudible infrasonic signatures.[44]
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Unlike audible signatures, tornadic signatures have been isolated; due to the long distance propagation of low-frequency sound, efforts are ongoing to develop tornado prediction and detection devices with additional value in understanding tornado morphology, dynamics, and creation.[45] Tornadoes also produce a detectable seismic signature, and research continues on isolating it and understanding the process.[46]
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Tornadoes emit on the electromagnetic spectrum, with sferics and E-field effects detected.[45][47][48] There are observed correlations between tornadoes and patterns of lightning. Tornadic storms do not contain more lightning than other storms and some tornadic cells never produce lightning at all. More often than not, overall cloud-to-ground (CG) lightning activity decreases as a tornado touches the surface and returns to the baseline level when the tornado dissipates. In many cases, intense tornadoes and thunderstorms exhibit an increased and anomalous dominance of positive polarity CG discharges.[49] Electromagnetics and lightning have little or nothing to do directly with what drives tornadoes (tornadoes are basically a thermodynamic phenomenon), although there are likely connections with the storm and environment affecting both phenomena.
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Luminosity has been reported in the past and is probably due to misidentification of external light sources such as lightning, city lights, and power flashes from broken lines, as internal sources are now uncommonly reported and are not known to ever have been recorded. In addition to winds, tornadoes also exhibit changes in atmospheric variables such as temperature, moisture, and pressure. For example, on June 24, 2003 near Manchester, South Dakota, a probe measured a 100 mbar (hPa) (2.95 inHg) pressure decrease. The pressure dropped gradually as the vortex approached then dropped extremely rapidly to 850 mbar (hPa) (25.10 inHg) in the core of the violent tornado before rising rapidly as the vortex moved away, resulting in a V-shape pressure trace. Temperature tends to decrease and moisture content to increase in the immediate vicinity of a tornado.[50]
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Tornadoes often develop from a class of thunderstorms known as supercells. Supercells contain mesocyclones, an area of organized rotation a few miles up in the atmosphere, usually 1–6 miles (1.6–9.7 kilometres) across. Most intense tornadoes (EF3 to EF5 on the Enhanced Fujita Scale) develop from supercells. In addition to tornadoes, very heavy rain, frequent lightning, strong wind gusts, and hail are common in such storms.
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Most tornadoes from supercells follow a recognizable life cycle. That begins when increasing rainfall drags with it an area of quickly descending air known as the rear flank downdraft (RFD). This downdraft accelerates as it approaches the ground, and drags the supercell's rotating mesocyclone towards the ground with it.[17]
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As the mesocyclone lowers below the cloud base, it begins to take in cool, moist air from the downdraft region of the storm. The convergence of warm air in the updraft and cool air causes a rotating wall cloud to form. The RFD also focuses the mesocyclone's base, causing it to draw air from a smaller and smaller area on the ground. As the updraft intensifies, it creates an area of low pressure at the surface. This pulls the focused mesocyclone down, in the form of a visible condensation funnel. As the funnel descends, the RFD also reaches the ground, fanning outward and creating a gust front that can cause severe damage a considerable distance from the tornado. Usually, the funnel cloud begins causing damage on the ground (becoming a tornado) within a few minutes of the RFD reaching the ground.[17][51]
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Initially, the tornado has a good source of warm, moist air flowing inward to power it, and it grows until it reaches the "mature stage". This can last from a few minutes to more than an hour, and during that time a tornado often causes the most damage, and in rare cases can be more than one mile (1.6 km) across. The low pressured atmosphere at the base of the tornado is essential to the endurance of the system.[52] Meanwhile, the RFD, now an area of cool surface winds, begins to wrap around the tornado, cutting off the inflow of warm air which previously fed the tornado.[17]
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As the RFD completely wraps around and chokes off the tornado's air supply, the vortex begins to weaken, and become thin and rope-like. This is the "dissipating stage", often lasting no more than a few minutes, after which the tornado ends. During this stage the shape of the tornado becomes highly influenced by the winds of the parent storm, and can be blown into fantastic patterns.[22][30][31] Even though the tornado is dissipating, it is still capable of causing damage. The storm is contracting into a rope-like tube and, due to conservation of angular momentum, winds can increase at this point.[26]
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As the tornado enters the dissipating stage, its associated mesocyclone often weakens as well, as the rear flank downdraft cuts off the inflow powering it. Sometimes, in intense supercells, tornadoes can develop cyclically. As the first mesocyclone and associated tornado dissipate, the storm's inflow may be concentrated into a new area closer to the center of the storm and possibly feed a new mesocyclone. If a new mesocyclone develops, the cycle may start again, producing one or more new tornadoes. Occasionally, the old (occluded) mesocyclone and the new mesocyclone produce a tornado at the same time.
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Although this is a widely accepted theory for how most tornadoes form, live, and die, it does not explain the formation of smaller tornadoes, such as landspouts, long-lived tornadoes, or tornadoes with multiple vortices. These each have different mechanisms which influence their development—however, most tornadoes follow a pattern similar to this one.[53]
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A multiple-vortex tornado is a type of tornado in which two or more columns of spinning air rotate about their own axis and at the same time revolve around a common center. A multi-vortex structure can occur in almost any circulation, but is very often observed in intense tornadoes. These vortices often create small areas of heavier damage along the main tornado path.[5][17] This is a phenomenon that is distinct from a satellite tornado, which is a smaller tornado which forms very near a large, strong tornado contained within the same mesocyclone. The satellite tornado may appear to "orbit" the larger tornado (hence the name), giving the appearance of one, large multi-vortex tornado. However, a satellite tornado is a distinct circulation, and is much smaller than the main funnel.[5]
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A waterspout is defined by the National Weather Service as a tornado over water. However, researchers typically distinguish "fair weather" waterspouts from tornadic (i.e. associated with a mesocyclone) waterspouts. Fair weather waterspouts are less severe but far more common, and are similar to dust devils and landspouts. They form at the bases of cumulus congestus clouds over tropical and subtropical waters. They have relatively weak winds, smooth laminar walls, and typically travel very slowly. They occur most commonly in the Florida Keys and in the northern Adriatic Sea.[54][55][56] In contrast, tornadic waterspouts are stronger tornadoes over water. They form over water similarly to mesocyclonic tornadoes, or are stronger tornadoes which cross over water. Since they form from severe thunderstorms and can be far more intense, faster, and longer-lived than fair weather waterspouts, they are more dangerous.[57] In official tornado statistics, waterspouts are generally not counted unless they affect land, though some European weather agencies count waterspouts and tornadoes together.[5][58]
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A landspout, or dust-tube tornado, is a tornado not associated with a mesocyclone. The name stems from their characterization as a "fair weather waterspout on land". Waterspouts and landspouts share many defining characteristics, including relative weakness, short lifespan, and a small, smooth condensation funnel which often does not reach the surface. Landspouts also create a distinctively laminar cloud of dust when they make contact with the ground, due to their differing mechanics from true mesoform tornadoes. Though usually weaker than classic tornadoes, they can produce strong winds which could cause serious damage.[5][17]
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A gustnado, or gust front tornado, is a small, vertical swirl associated with a gust front or downburst. Because they are not connected with a cloud base, there is some debate as to whether or not gustnadoes are tornadoes. They are formed when fast moving cold, dry outflow air from a thunderstorm is blown through a mass of stationary, warm, moist air near the outflow boundary, resulting in a "rolling" effect (often exemplified through a roll cloud). If low level wind shear is strong enough, the rotation can be turned vertically or diagonally and make contact with the ground. The result is a gustnado.[5][59] They usually cause small areas of heavier rotational wind damage among areas of straight-line wind damage.
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A dust devil (also known as a whirlwind) resembles a tornado in that it is a vertical swirling column of air. However, they form under clear skies and are no stronger than the weakest tornadoes. They form when a strong convective updraft is formed near the ground on a hot day. If there is enough low level wind shear, the column of hot, rising air can develop a small cyclonic motion that can be seen near the ground. They are not considered tornadoes because they form during fair weather and are not associated with any clouds. However, they can, on occasion, result in major damage.[24][60]
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Small-scale, tornado-like circulations can occur near any intense surface heat source. Those that occur near intense wildfires are called fire whirls. They are not considered tornadoes, except in the rare case where they connect to a pyrocumulus or other cumuliform cloud above. Fire whirls usually are not as strong as tornadoes associated with thunderstorms. They can, however, produce significant damage.[22]
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A steam devil is a rotating updraft between 50 and 200 meters wide that involves steam or smoke. These formations do not involve high wind speeds, only completing a few rotations per minute. Steam devils are very rare. They most often form from smoke issuing from a power plant's smokestack. Hot springs and deserts may also be suitable locations for a tighter, faster-rotating steam devil to form. The phenomenon can occur over water, when cold arctic air passes over relatively warm water.[24]
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The Fujita scale and the Enhanced Fujita Scale rate tornadoes by damage caused. The Enhanced Fujita (EF) Scale was an update to the older Fujita scale, by expert elicitation, using engineered wind estimates and better damage descriptions. The EF Scale was designed so that a tornado rated on the Fujita scale would receive the same numerical rating, and was implemented starting in the United States in 2007. An EF0 tornado will probably damage trees but not substantial structures, whereas an EF5 tornado can rip buildings off their foundations leaving them bare and even deform large skyscrapers. The similar TORRO scale ranges from a T0 for extremely weak tornadoes to T11 for the most powerful known tornadoes. Doppler weather radar data, photogrammetry, and ground swirl patterns (cycloidal marks) may also be analyzed to determine intensity and award a rating.[5][62][63]
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Tornadoes vary in intensity regardless of shape, size, and location, though strong tornadoes are typically larger than weak tornadoes. The association with track length and duration also varies, although longer track tornadoes tend to be stronger.[64] In the case of violent tornadoes, only a small portion of the path is of violent intensity, most of the higher intensity from subvortices.[22]
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In the United States, 80% of tornadoes are EF0 and EF1 (T0 through T3) tornadoes. The rate of occurrence drops off quickly with increasing strength—less than 1% are violent tornadoes (EF4, T8 or stronger).[65] Outside Tornado Alley, and North America in general, violent tornadoes are extremely rare. This is apparently mostly due to the lesser number of tornadoes overall, as research shows that tornado intensity distributions are fairly similar worldwide. A few significant tornadoes occur annually in Europe, Asia, southern Africa, and southeastern South America.[66]
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The United States has the most tornadoes of any country, nearly four times more than estimated in all of Europe, excluding waterspouts.[67] This is mostly due to the unique geography of the continent. North America is a large continent that extends from the tropics north into arctic areas, and has no major east-west mountain range to block air flow between these two areas. In the middle latitudes, where most tornadoes of the world occur, the Rocky Mountains block moisture and buckle the atmospheric flow, forcing drier air at mid-levels of the troposphere due to downsloped winds, and causing the formation of a low pressure area downwind to the east of the mountains. Increased westerly flow off the Rockies force the formation of a dry line when the flow aloft is strong,[68] while the Gulf of Mexico fuels abundant low-level moisture in the southerly flow to its east. This unique topography allows for frequent collisions of warm and cold air, the conditions that breed strong, long-lived storms throughout the year. A large portion of these tornadoes form in an area of the central United States known as Tornado Alley.[69] This area extends into Canada, particularly Ontario and the Prairie Provinces, although southeast Quebec, the interior of British Columbia, and western New Brunswick are also tornado-prone.[70] Tornadoes also occur across northeastern Mexico.[5]
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The United States averages about 1,200 tornadoes per year, followed by Canada, averaging 62 reported per year.[71] NOAA's has a higher average 100 per year in Canada.[72] The Netherlands has the highest average number of recorded tornadoes per area of any country (more than 20, or 0.0013 per sq mi (0.00048 per km2), annually), followed by the UK (around 33, or 0.00035 per sq mi (0.00013 per km2), per year), although those are of lower intensity, briefer[73][74] and cause minor damage.[67]
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Tornadoes kill an average of 179 people per year in Bangladesh, the most in the world.[75] Reasons for this include the region's high population density, poor construction quality, and lack of tornado safety knowledge.[75][76] Other areas of the world that have frequent tornadoes include South Africa, the La Plata Basin area, portions of Europe, Australia and New Zealand, and far eastern Asia.[8][77]
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Tornadoes are most common in spring and least common in winter, but tornadoes can occur any time of year that favorable conditions occur.[22] Spring and fall experience peaks of activity as those are the seasons when stronger winds, wind shear, and atmospheric instability are present.[78] Tornadoes are focused in the right front quadrant of landfalling tropical cyclones, which tend to occur in the late summer and autumn. Tornadoes can also be spawned as a result of eyewall mesovortices, which persist until landfall.[79]
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Tornado occurrence is highly dependent on the time of day, because of solar heating.[80] Worldwide, most tornadoes occur in the late afternoon, between 3 pm and 7 pm local time, with a peak near 5 pm.[81][82][83][84][85] Destructive tornadoes can occur at any time of day. The Gainesville Tornado of 1936, one of the deadliest tornadoes in history, occurred at 8:30 am local time.[22]
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The United Kingdom has the highest incidence of tornadoes per unit area of land in the world.[86] Unsettled conditions and weather fronts transverse the British Isles at all times of the years, and are responsible for spawning the tornadoes, which consequently form at all times of the year. The United Kingdom has at least 34 tornadoes per year and possibly as many as 50.[87] Most tornadoes in the United Kingdom are weak, but they are occasionally destructive. For example, the Birmingham tornado of 2005 and the London tornado of 2006 both registered F2 on the Fujita scale and both caused significant damage and injury.[88]
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Associations with various climate and environmental trends exist. For example, an increase in the sea surface temperature of a source region (e.g. Gulf of Mexico and Mediterranean Sea) increases atmospheric moisture content. Increased moisture can fuel an increase in severe weather and tornado activity, particularly in the cool season.[89]
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Some evidence does suggest that the Southern Oscillation is weakly correlated with changes in tornado activity, which vary by season and region, as well as whether the ENSO phase is that of El Niño or La Niña.[90] Research has found that fewer tornadoes and hailstorms occur in winter and spring in the U.S. central and southern plains during El Niño, and more occur during La Niña, than in years when temperatures in the Pacific are relatively stable. Ocean conditions could be used to forecast extreme spring storm events several months in advance.[91]
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Climatic shifts may affect tornadoes via teleconnections in shifting the jet stream and the larger weather patterns. The climate-tornado link is confounded by the forces affecting larger patterns and by the local, nuanced nature of tornadoes. Although it is reasonable to suspect that global warming may affect trends in tornado activity,[92] any such effect is not yet identifiable due to the complexity, local nature of the storms, and database quality issues. Any effect would vary by region.[93]
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Rigorous attempts to warn of tornadoes began in the United States in the mid-20th century. Before the 1950s, the only method of detecting a tornado was by someone seeing it on the ground. Often, news of a tornado would reach a local weather office after the storm. However, with the advent of weather radar, areas near a local office could get advance warning of severe weather. The first public tornado warnings were issued in 1950 and the first tornado watches and convective outlooks came about in 1952. In 1953, it was confirmed that hook echoes were associated with tornadoes.[94] By recognizing these radar signatures, meteorologists could detect thunderstorms probably producing tornadoes from several miles away.[95]
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Today most developed countries have a network of weather radars, which serves as the primary method of detecting hook signatures that are likely associated with tornadoes. In the United States and a few other countries, Doppler weather radar stations are used. These devices measure the velocity and radial direction (towards or away from the radar) of the winds within a storm, and so can spot evidence of rotation in storms from over one hundred miles (160 km) away. When storms are distant from a radar, only areas high within the storm are observed and the important areas below are not sampled.[96] Data resolution also decreases with distance from the radar. Some meteorological situations leading to tornadogenesis are not readily detectable by radar and tornado development may occasionally take place more quickly than radar can complete a scan and send the batch of data. Doppler radar systems can detect mesocyclones within a supercell thunderstorm. This allows meteorologists to predict tornado formations throughout thunderstorms.[97]
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In the mid-1970s, the U.S. National Weather Service (NWS) increased its efforts to train storm spotters so they could spot key features of storms that indicate severe hail, damaging winds, and tornadoes, as well as storm damage and flash flooding. The program was called Skywarn, and the spotters were local sheriff's deputies, state troopers, firefighters, ambulance drivers, amateur radio operators, civil defense (now emergency management) spotters, storm chasers, and ordinary citizens. When severe weather is anticipated, local weather service offices request these spotters to look out for severe weather and report any tornadoes immediately, so that the office can warn of the hazard.
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Spotters usually are trained by the NWS on behalf of their respective organizations, and report to them. The organizations activate public warning systems such as sirens and the Emergency Alert System (EAS), and they forward the report to the NWS.[98]
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There are more than 230,000 trained Skywarn weather spotters across the United States.[99]
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In Canada, a similar network of volunteer weather watchers, called Canwarn, helps spot severe weather, with more than 1,000 volunteers.[100] In Europe, several nations are organizing spotter networks under the auspices of Skywarn Europe[101] and the Tornado and Storm Research Organisation (TORRO) has maintained a network of spotters in the United Kingdom since 1974.[102]
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Storm spotters are required because radar systems such as NEXRAD detect signatures which suggest the presence of tornadoes, rather than tornadoes as such.[103] Radar may give a warning before there is any visual evidence of a tornado or an imminent one, but ground truth from an observer can give definitive information.[104] The spotter's ability to see what radar can't is especially important as distance from the radar site increases, because the radar beam becomes progressively higher in altitude further away from the radar, chiefly due to curvature of Earth, and the beam also spreads out.[96]
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Storm spotters are trained to discern whether or not a storm seen from a distance is a supercell. They typically look to its rear, the main region of updraft and inflow. Under that updraft is a rain-free base, and the next step of tornadogenesis is the formation of a rotating wall cloud. The vast majority of intense tornadoes occur with a wall cloud on the backside of a supercell.[65]
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Evidence of a supercell is based on the storm's shape and structure, and cloud tower features such as a hard and vigorous updraft tower, a persistent, large overshooting top, a hard anvil (especially when backsheared against strong upper level winds), and a corkscrew look or striations. Under the storm and closer to where most tornadoes are found, evidence of a supercell and the likelihood of a tornado includes inflow bands (particularly when curved) such as a "beaver tail", and other clues such as strength of inflow, warmth and moistness of inflow air, how outflow- or inflow-dominant a storm appears, and how far is the front flank precipitation core from the wall cloud. Tornadogenesis is most likely at the interface of the updraft and rear flank downdraft, and requires a balance between the outflow and inflow.[17]
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Only wall clouds that rotate spawn tornadoes, and they usually precede the tornado between five and thirty minutes. Rotating wall clouds may be a visual manifestation of a low-level mesocyclone. Barring a low-level boundary, tornadogenesis is highly unlikely unless a rear flank downdraft occurs, which is usually visibly evidenced by evaporation of cloud adjacent to a corner of a wall cloud. A tornado often occurs as this happens or shortly afterwards; first, a funnel cloud dips and in nearly all cases by the time it reaches halfway down, a surface swirl has already developed, signifying a tornado is on the ground before condensation connects the surface circulation to the storm. Tornadoes may also develop without wall clouds, under flanking lines and on the leading edge. Spotters watch all areas of a storm, and the cloud base and surface.[105]
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The tornado which holds most records in history was the Tri-State Tornado, which roared through parts of Missouri, Illinois, and Indiana on March 18, 1925. It was likely an F5, though tornadoes were not ranked on any scale in that era. It holds records for longest path length (219 miles; 352 km), longest duration (about 3.5 hours), and fastest forward speed for a significant tornado (73 mph; 117 km/h) anywhere on Earth. In addition, it is the deadliest single tornado in United States history (695 dead).[22] The tornado was also the costliest tornado in history at the time (unadjusted for inflation), but in the years since has been surpassed by several others if population changes over time are not considered. When costs are normalized for wealth and inflation, it ranks third today.[106]
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The deadliest tornado in world history was the Daultipur-Salturia Tornado in Bangladesh on April 26, 1989, which killed approximately 1,300 people.[75] Bangladesh has had at least 19 tornadoes in its history that killed more than 100 people, almost half of the total in the rest of the world.
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The most extensive tornado outbreak on record was the 2011 Super Outbreak, which spawned 360 confirmed tornadoes over the southeastern United States, 216 of them within a single 24-hour period. The previous record was the 1974 Super Outbreak which spawned 148 tornadoes.
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While direct measurement of the most violent tornado wind speeds is nearly impossible, since conventional anemometers would be destroyed by the intense winds and flying debris, some tornadoes have been scanned by mobile Doppler radar units, which can provide a good estimate of the tornado's winds. The highest wind speed ever measured in a tornado, which is also the highest wind speed ever recorded on the planet, is 301 ± 20 mph (484 ± 32 km/h) in the F5 Bridge Creek-Moore, Oklahoma, tornado which killed 36 people.[107] The reading was taken about 100 feet (30 m) above the ground.[3]
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Storms that produce tornadoes can feature intense updrafts, sometimes exceeding 150 mph (240 km/h). Debris from a tornado can be lofted into the parent storm and carried a very long distance. A tornado which affected Great Bend, Kansas, in November 1915, was an extreme case, where a "rain of debris" occurred 80 miles (130 km) from the town, a sack of flour was found 110 miles (180 km) away, and a cancelled check from the Great Bend bank was found in a field outside of Palmyra, Nebraska, 305 miles (491 km) to the northeast.[108] Waterspouts and tornadoes have been advanced as an explanation for instances of raining fish and other animals.[109]
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Though tornadoes can strike in an instant, there are precautions and preventative measures that can be taken to increase the chances of survival. Authorities such as the Storm Prediction Center advise having a pre-determined plan should a tornado warning be issued. When a warning is issued, going to a basement or an interior first-floor room of a sturdy building greatly increases chances of survival.[110] In tornado-prone areas, many buildings have underground storm cellars, which have saved thousands of lives.[111]
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Some countries have meteorological agencies which distribute tornado forecasts and increase levels of alert of a possible tornado (such as tornado watches and warnings in the United States and Canada). Weather radios provide an alarm when a severe weather advisory is issued for the local area, mainly available only in the United States. Unless the tornado is far away and highly visible, meteorologists advise that drivers park their vehicles far to the side of the road (so as not to block emergency traffic), and find a sturdy shelter. If no sturdy shelter is nearby, getting low in a ditch is the next best option. Highway overpasses are one of the worst places to take shelter during tornadoes, as the constricted space can be subject to increased wind speed and funneling of debris underneath the overpass.[112]
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Folklore often identifies a green sky with tornadoes, and though the phenomenon may be associated with severe weather, there is no evidence linking it specifically with tornadoes.[113] It is often thought that opening windows will lessen the damage caused by the tornado. While there is a large drop in atmospheric pressure inside a strong tornado, it is unlikely that the pressure drop would be enough to cause the house to explode. Opening windows may actually increase the severity of the tornado's damage.[114] A violent tornado can destroy a house whether its windows are open or closed.[114][115]
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Another commonly held misconception is that highway overpasses provide adequate shelter from tornadoes. This belief is partly inspired by widely circulated video captured during the 1991 tornado outbreak near Andover, Kansas, where a news crew and several other people take shelter under an overpass on the Kansas Turnpike and safely ride out a tornado as it passes by.[116] However, a highway overpass is a dangerous place during a tornado, and the subjects of the video remained safe due to an unlikely combination of events: the storm in question was a weak tornado, the tornado did not directly strike the overpass, and the overpass itself was of a unique design.[116] Due to the Venturi effect, tornadic winds are accelerated in the confined space of an overpass.[117] Indeed, in the 1999 Oklahoma tornado outbreak of May 3, 1999, three highway overpasses were directly struck by tornadoes, and at each of the three locations there was a fatality, along with many life-threatening injuries.[118] By comparison, during the same tornado outbreak, more than 2,000 homes were completely destroyed and another 7,000 damaged, and yet only a few dozen people died in their homes.[112]
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An old belief is that the southwest corner of a basement provides the most protection during a tornado. The safest place is the side or corner of an underground room opposite the tornado's direction of approach (usually the northeast corner), or the central-most room on the lowest floor. Taking shelter in a basement, under a staircase, or under a sturdy piece of furniture such as a workbench further increases chances of survival.[114][115]
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There are areas which people believe to be protected from tornadoes, whether by being in a city, near a major river, hill, or mountain, or even protected by supernatural forces.[119] Tornadoes have been known to cross major rivers, climb mountains,[120] affect valleys, and have damaged several city centers. As a general rule, no area is safe from tornadoes, though some areas are more susceptible than others.[24][114][115]
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Meteorology is a relatively young science and the study of tornadoes is newer still. Although researched for about 140 years and intensively for around 60 years, there are still aspects of tornadoes which remain a mystery.[121] Scientists have a fairly good understanding of the development of thunderstorms and mesocyclones,[122][123] and the meteorological conditions conducive to their formation. However, the step from supercell, or other respective formative processes, to tornadogenesis and the prediction of tornadic vs. non-tornadic mesocyclones is not yet well known and is the focus of much research.[78]
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Also under study are the low-level mesocyclone and the stretching of low-level vorticity which tightens into a tornado,[78] in particular, what are the processes and what is the relationship of the environment and the convective storm. Intense tornadoes have been observed forming simultaneously with a mesocyclone aloft (rather than succeeding mesocyclogenesis) and some intense tornadoes have occurred without a mid-level mesocyclone.[124]
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In particular, the role of downdrafts, particularly the rear-flank downdraft, and the role of baroclinic boundaries, are intense areas of study.[125]
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Reliably predicting tornado intensity and longevity remains a problem, as do details affecting characteristics of a tornado during its life cycle and tornadolysis. Other rich areas of research are tornadoes associated with mesovortices within linear thunderstorm structures and within tropical cyclones.[126]
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Scientists still do not know the exact mechanisms by which most tornadoes form, and occasional tornadoes still strike without a tornado warning being issued.[127] Analysis of observations including both stationary and mobile (surface and aerial) in-situ and remote sensing (passive and active) instruments generates new ideas and refines existing notions. Numerical modeling also provides new insights as observations and new discoveries are integrated into our physical understanding and then tested in computer simulations which validate new notions as well as produce entirely new theoretical findings, many of which are otherwise unattainable. Importantly, development of new observation technologies and installation of finer spatial and temporal resolution observation networks have aided increased understanding and better predictions.[128]
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Research programs, including field projects such as the VORTEX projects (Verification of the Origins of Rotation in Tornadoes Experiment), deployment of TOTO (the TOtable Tornado Observatory), Doppler on Wheels (DOW), and dozens of other programs, hope to solve many questions that still plague meteorologists.[45] Universities, government agencies such as the National Severe Storms Laboratory, private-sector meteorologists, and the National Center for Atmospheric Research are some of the organizations very active in research; with various sources of funding, both private and public, a chief entity being the National Science Foundation.[103][129] The pace of research is partly constrained by the number of observations that can be taken; gaps in information about the wind, pressure, and moisture content throughout the local atmosphere; and the computing power available for simulation.[130]
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Solar storms similar to tornadoes have been recorded, but it is unknown how closely related they are to their terrestrial counterparts.[131]
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Time-lapse of a tornado's life cycle near Prospect Valley, Colorado on June 19, 2018
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A tornado that occurred at Seymour, Texas in April 1979
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F4 tornado in Roanoke, Illinois on July 13, 2004
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The mature stage of a tornado that occurred in Union City, Oklahoma on May 24, 1973
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A radar reflectivity image of a classic tornadic supercell near Oklahoma City, Oklahoma on May 3, 1999
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EF4 tornado near Marquette, Kansas on April 14, 2012
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F0 tornado in its final stages over the North Sea near Vrångö, Sweden on July 17, 2011
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Pokémon[a] (English: /ˈpoʊkɪˌmɒn, -ki-, -keɪ-/),[1][2][3] also known as Pocket Monsters[b] in Japan, is a Japanese media franchise managed by the Pokémon Company, a company founded and with shares divided between Nintendo, Game Freak, and Creatures.[4] The franchise copyright and Japanese trademark is shared by all three companies,[5] but Nintendo is the sole owner of the trademark in other countries.[6] The franchise was created by Satoshi Tajiri in 1995,[7] and is centered on fictional creatures called "Pokémon", which humans, known as Pokémon Trainers, catch and train to battle each other for sport. The English slogan for the franchise is "Gotta Catch 'Em All".[8][9] Works within the franchise are set in the Pokémon universe.
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The franchise began as Pokémon Red and Green (later released outside of Japan as Pokémon Red and Blue), a pair of video games for the original Game Boy handheld system that were developed by Game Freak and published by Nintendo in February 1996. It soon became a media mix franchise adapted into various different media.[10] Pokémon has since become the highest-grossing media franchise of all time,[11][12][13] with $90 billion in total franchise revenue.[14][15] The original video game series is the second-best-selling video game franchise (behind Nintendo's Mario franchise)[16] with more than 346 million copies sold[17] and one billion mobile downloads,[18] and it spawned a hit anime television series that has become the most successful video game adaptation[19] with over 20 seasons and 1,000 episodes in 169 countries.[17] In addition, the Pokémon franchise includes the world's top-selling toy brand,[20] the top-selling trading card game[21] with over 28.8 billion cards sold,[17] an anime film series, a live-action film, books, manga comics, music, merchandise, and a theme park. The franchise is also represented in other Nintendo media, such as the Super Smash Bros. series.
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In November 2005, 4Kids Entertainment, which had managed the non-game related licensing of Pokémon, announced that it had agreed not to renew the Pokémon representation agreement. The Pokémon Company International oversees all Pokémon licensing outside Asia.[22] In 2006, the franchise celebrated its tenth anniversary.[23] In 2016, the Pokémon Company celebrated Pokémon's 20th anniversary by airing an ad during Super Bowl 50 in January and issuing re-releases of the 1996 Game Boy games Pokémon Red, Green (only in Japan), and Blue, and the 1998 Game Boy Color game Pokémon Yellow for the Nintendo 3DS on February 26, 2016.[24][25] The mobile augmented reality game Pokémon Go was released in July 2016.[26] The first live-action film in the franchise, Pokémon Detective Pikachu, based on the 2018 Nintendo 3DS spinoff game Detective Pikachu, was released in 2019.[11] The most recently released games, Pokémon Sword and Shield, were released worldwide on the Nintendo Switch on November 15, 2019.[27]
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The name Pokémon is the portmanteau of the Japanese brand Pocket Monsters.[28] The term "Pokémon", in addition to referring to the Pokémon franchise itself, also collectively refers to the 896 fictional species that have made appearances in Pokémon media as of the release of the eighth generation titles Pokémon Sword and Shield. "Pokémon" is identical in the singular and plural, as is each individual species name; it is grammatically correct to say "one Pokémon" and "many Pokémon", as well as "one Pikachu" and "many Pikachu".[29]
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Pokémon executive director Satoshi Tajiri first thought of Pokémon, albeit with a different concept and name, around 1989, when the Game Boy was released. The concept of the Pokémon universe, in both the video games and the general fictional world of Pokémon, stems from the hobby of insect collecting, a popular pastime which Tajiri enjoyed as a child.[30] Players are designated as Pokémon Trainers and have three general goals: to complete the regional Pokédex by collecting all of the available Pokémon species found in the fictional region where a game takes place, to complete the national Pokédex by transferring Pokémon from other regions, and to train a team of powerful Pokémon from those they have caught to compete against teams owned by other Trainers so they may eventually win the Pokémon League and become the regional Champion. These themes of collecting, training, and battling are present in almost every version of the Pokémon franchise, including the video games, the anime and manga series, and the Pokémon Trading Card Game.
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In most incarnations of the Pokémon universe, a Trainer who encounters a wild Pokémon is able to capture that Pokémon by throwing a specially designed, mass-producible spherical tool called a Poké Ball at it. If the Pokémon is unable to escape the confines of the Poké Ball, it is considered to be under the ownership of that Trainer. Afterwards, it will obey whatever commands it receives from its new Trainer, unless the Trainer demonstrates such a lack of experience that the Pokémon would rather act on its own accord. Trainers can send out any of their Pokémon to wage non-lethal battles against other Pokémon; if the opposing Pokémon is wild, the Trainer can capture that Pokémon with a Poké Ball, increasing their collection of creatures. In Pokémon Go, and in Pokémon: Let's Go, Pikachu! and Let's Go, Eevee!, wild Pokémon encountered by players can be caught in Poké Balls, but generally cannot be battled. Pokémon already owned by other Trainers cannot be captured, except under special circumstances in certain side games. If a Pokémon fully defeats an opponent in battle so that the opponent is knocked out ("faints"), the winning Pokémon gains experience points and may level up. Beginning with Pokémon X and Y, experience points are also gained from catching Pokémon in Poké Balls. When leveling up, the Pokémon's battling aptitude statistics ("stats", such as "Attack" and "Speed") increase. At certain levels, the Pokémon may also learn new moves, which are techniques used in battle. In addition, many species of Pokémon can undergo a form of metamorphosis and transform into a similar but stronger species of Pokémon, a process called evolution; this process occurs spontaneously under differing circumstances, and is itself a central theme of the series. Some species of Pokémon may undergo a maximum of two evolutionary transformations, while others may undergo only one, and others may not evolve at all. For example, the Pokémon Pichu may evolve into Pikachu, which in turn may evolve into Raichu, following which no further evolutions may occur. Pokémon X and Y introduced the concept of "Mega Evolution," by which certain fully evolved Pokémon may temporarily undergo an additional evolution into a stronger form for the purpose of battling; this evolution is considered a special case, and unlike other evolutionary stages, is reversible.
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In the main series, each game's single-player mode requires the Trainer to raise a team of Pokémon to defeat many non-player character (NPC) Trainers and their Pokémon. Each game lays out a somewhat linear path through a specific region of the Pokémon world for the Trainer to journey through, completing events and battling opponents along the way (including foiling the plans of an 'evil' team of Pokémon Trainers who serve as antagonists to the player). Excluding Pokémon Sun and Moon and Pokémon Ultra Sun and Ultra Moon, the games feature eight powerful Trainers, referred to as Gym Leaders, that the Trainer must defeat in order to progress. As a reward, the Trainer receives a Gym Badge, and once all eight badges are collected, the Trainer is eligible to challenge the region's Pokémon League, where four talented trainers (referred to collectively as the "Elite Four") challenge the Trainer to four Pokémon battles in succession. If the trainer can overcome this gauntlet, they must challenge the Regional Champion, the master Trainer who had previously defeated the Elite Four. Any Trainer who wins this last battle becomes the new champion.
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All of the licensed Pokémon properties overseen by the Pokémon Company International are divided roughly by generation. These generations are roughly chronological divisions by release; every several years, when a sequel to the 1996 role-playing video games Pokémon Red and Green is released that features new Pokémon, characters, and gameplay concepts, that sequel is considered the start of a new generation of the franchise. The main Pokémon video games and their spin-offs, the anime, manga, and trading card game are all updated with the new Pokémon properties each time a new generation begins.[32] Some Pokémon from the newer games appear in anime episodes or films months, or even years, before the game they were programmed for came out. The first generation began in Japan with Pokémon Red and Green on the Game Boy. As of 2020, there currently are eight generations of main series video games. The most recent games in the main series, Pokémon Sword and Shield, began the eighth and latest generation and were released worldwide for the Nintendo Switch on November 15, 2019.[33][34][35]
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Pokémon, also known as Pokémon the Series to Western audiences since 2013, is an anime television series based on the Pokémon video game series. It was originally broadcast on TV Tokyo in 1997. To date, the anime has produced and aired over 1,000 episodes, divided into 7 series in Japan and 22 seasons internationally. It is one of the longest currently running anime series.[38]
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The anime follows the quest of the main character, Ash Ketchum (known as Satoshi in Japan), a Pokémon Master in training, as he and a small group of friends travel around the world of Pokémon along with their Pokémon partners.[39]
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Various children's books, collectively known as Pokémon Junior, are also based on the anime.[40]
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A new seven part anime series called Pokémon: Twilight Wings began airing on YouTube in 2020.[41] The series was animated by Studio Colorido.[42]
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To date, there have been 23 animated theatrical Pokémon films (one in the making for July 2020[43]), which have been directed by Kunihiko Yuyama and Tetsuo Yajima, and distributed in Japan by Toho since 1998. The pair of films, Pokémon the Movie: Black—Victini and Reshiram and White—Victini and Zekrom are considered together as one film. Collectibles, such as promotional trading cards, have been available with some of the films. Since the 20th film, the films have been set in an alternate continuity separate from the anime series.
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List of Pokémon animated theatrical films
|
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A reboot to the film franchise began with the release of the 20th movie, Pokémon the Movie: I Choose You!, in Japan on July 15, 2017. It was followed by a continuation, Pokémon the Movie: The Power of Us, which was released in Japan on July 13, 2018.
|
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A live-action Pokémon film directed by Rob Letterman, produced by Legendary Entertainment,[48] and distributed in Japan by Toho and internationally by Warner Bros.[49] began filming in January 2018.[50] On August 24, the film's official title was announced as Pokémon Detective Pikachu.[51] It was released on May 10, 2019.[11] The film is based on the 2018 Nintendo 3DS spin-off video game Detective Pikachu. Development of a sequel was announced in January 2019, before the release of the first film.[52]
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Pokémon CDs have been released in North America, some of them in conjunction with the theatrical releases of the first three and the 20th Pokémon films. These releases were commonplace until late 2001. On March 27, 2007, a tenth anniversary CD was released containing 18 tracks from the English dub; this was the first English-language release in over five years. Soundtracks of the Pokémon feature films have been released in Japan each year in conjunction with the theatrical releases. In 2017, a soundtrack album featuring music from the North American versions of the 17th through 20th movies was released.
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|
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^ The exact date of release is unknown.
|
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^ Featuring music from Pokémon the Movie: Diancie and the Cocoon of Destruction, Pokémon the Movie: Hoopa and the Clash of Ages, Pokémon the Movie: Volcanion and the Mechanical Marvel, and Pokémon the Movie: I Choose You!
|
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The Pokémon Trading Card Game (TCG) is a collectible card game with a goal similar to a Pokémon battle in the video game series. Players use Pokémon cards, with individual strengths and weaknesses, in an attempt to defeat their opponent by "knocking out" their Pokémon cards.[55] The game was published in North America by Wizards of the Coast in 1999.[56] With the release of the Game Boy Advance video games Pokémon Ruby and Sapphire, the Pokémon Company took back the card game from Wizards of the Coast and started publishing the cards themselves.[56] The Expedition expansion introduced the Pokémon-e Trading Card Game, where the cards (for the most part) were compatible with the Nintendo e-Reader. Nintendo discontinued its production of e-Reader compatible cards with the release of FireRed and LeafGreen. In 1998, Nintendo released a Game Boy Color version of the trading card game in Japan; Pokémon Trading Card Game was subsequently released to the US and Europe in 2000. The game included digital versions cards from the original set of cards and the first two expansions (Jungle and Fossil), as well as several cards exclusive to the game. A sequel was released in Japan in 2001.[57]
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There are various Pokémon manga series, four of which were released in English by Viz Media, and seven of them released in English by Chuang Yi. The manga series vary from game-based series to being based on the anime and the Trading Card Game. Original stories have also been published. As there are several series created by different authors, most Pokémon manga series differ greatly from each other and other media, such as the anime.[example needed] Pokémon Pocket Monsters and Pokémon Adventures are the two manga in production since the first generation.
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A Pokémon-styled Monopoly board game was released in August 2014.[72]
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Pokémon has been criticized by some fundamentalist Christians over perceived occult and violent themes and the concept of "Pokémon evolution", which they feel goes against the Biblical creation account in Genesis.[73] Sat2000, a satellite television station based in Vatican City, has countered that the Pokémon Trading Card Game and video games are "full of inventive imagination" and have no "harmful moral side effects".[74][75] In the United Kingdom, the "Christian Power Cards" game was introduced in 1999 by David Tate who stated, "Some people aren't happy with Pokémon and want an alternative, others just want Christian games." The game was similar to the Pokémon Trading Card Game but used Biblical figures.[76]
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In 1999, Nintendo stopped manufacturing the Japanese version of the "Koga's Ninja Trick" trading card because it depicted a manji, a traditionally Buddhist symbol with no negative connotations. The Jewish civil rights group Anti-Defamation League complained because the symbol is the reverse of a swastika, a Nazi symbol. The cards were intended for sale in Japan only, but the popularity of Pokémon led to import into the United States with approval from Nintendo. The Anti-Defamation League understood that the portrayed symbol was not intended to offend and acknowledged the sensitivity that Nintendo showed by removing the product.[77][78]
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In 1999, two nine-year-old boys from Merrick, New York sued Nintendo because they claimed the Pokémon Trading Card Game caused their problematic gambling.[79]
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In 2001, Saudi Arabia banned Pokémon games and the trading cards, alleging that the franchise promoted Zionism by displaying the Star of David in the trading cards (a six-pointed star is featured in the card game) as well as other religious symbols such as crosses they associated with Christianity and triangles they associated with Freemasonry; the games also involved gambling, which is in violation of Muslim doctrine.[80][81]
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Pokémon has also been accused of promoting materialism.[82]
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In 2012, PETA criticized the concept of Pokémon as supporting cruelty to animals. PETA compared the game's concept, of capturing animals and forcing them to fight, to cockfights, dog fighting rings and circuses, events frequently criticized for cruelty to animals. PETA released a game spoofing Pokémon where the Pokémon battle their trainers to win their freedom.[83] PETA reaffirmed their objections in 2016 with the release of Pokémon Go, promoting the hashtag #GottaFreeThemAll.[84]
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On December 16, 1997, more than 635 Japanese children were admitted to hospitals with epileptic seizures.[85] It was determined the seizures were caused by watching an episode of Pokémon "Dennō Senshi Porygon", (most commonly translated "Electric Soldier Porygon", season 1, episode 38); as a result, this episode has not been aired since. In this particular episode, there were bright explosions with rapidly alternating blue and red color patterns.[86] It was determined in subsequent research that these strobing light effects cause some individuals to have epileptic seizures, even if the person had no previous history of epilepsy.[87] This incident is a common focus of Pokémon-related parodies in other media, and was lampooned by The Simpsons episode "Thirty Minutes over Tokyo"[88] and the South Park episode "Chinpokomon",[89] among others.
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In March 2000, Morrison Entertainment Group, a toy developer based at Manhattan Beach, California, sued Nintendo over claims that Pokémon infringed on its own Monster in My Pocket characters. A judge ruled there was no infringement and Morrison appealed the ruling. On February 4, 2003, the U.S. Court of Appeals for the Ninth Circuit affirmed the decision by the District Court to dismiss the suit.[90]
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Within its first two days of release, Pokémon Go raised safety concerns among players. Multiple people also suffered minor injuries from falling while playing the game due to being distracted.[91]
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Multiple police departments in various countries have issued warnings, some tongue-in-cheek, regarding inattentive driving, trespassing, and being targeted by criminals due to being unaware of one's surroundings.[92][93] People have suffered various injuries from accidents related to the game,[94][95][96][97] and Bosnian players have been warned to stay out of minefields left over from the 1990s Bosnian War.[98] On July 20, 2016, it was reported that an 18-year-old boy in Chiquimula, Guatemala was shot and killed while playing the game in the late evening hours. This was the first reported death in connection with the app. The boy's 17-year-old cousin, who was accompanying the victim, was shot in the foot. Police speculated that the shooters used the game's GPS capability to find the two.[99]
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Pokémon, being a globally popular franchise, has left a significant mark on today's popular culture. The various species of Pokémon have become pop culture icons; examples include two different Pikachu balloons in the Macy's Thanksgiving Day Parade, Pokémon-themed airplanes operated by All Nippon Airways, merchandise items, and a traveling theme park that was in Nagoya, Japan in 2005 and in Taipei in 2006. Pokémon also appeared on the cover of the U.S. magazine Time in 1999.[100] The Comedy Central show Drawn Together has a character named Ling-Ling who is a parody of Pikachu.[101] Several other shows such as The Simpsons,[102] South Park[103] and Robot Chicken[104] have made references and spoofs of Pokémon, among other series. Pokémon was featured on VH1's I Love the '90s: Part Deux. A live action show based on the anime called Pokémon Live! toured the United States in late 2000.[105] Jim Butcher cites Pokémon as one of the inspirations for the Codex Alera series of novels.[106]
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Pokémon has even made its mark in the realm of science. This includes animals named after Pokémon, such as Stentorceps weedlei (named after the Pokémon Weedle for its resemblance) and Chilicola Charizard Monckton (named after the Pokémon Charizard).[107] There is also a protein named after Pikachu, called Pikachurin.
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In November 2001, Nintendo opened a store called the Pokémon Center in New York, in Rockefeller Center,[108] modeled after the two other Pokémon Center stores in Tokyo and Osaka and named after a staple of the video game series. Pokémon Centers are fictional buildings where Trainers take their injured Pokémon to be healed after combat.[109] The store sold Pokémon merchandise on a total of two floors, with items ranging from collectible shirts to stuffed Pokémon plushies.[110] The store also featured a Pokémon Distributing Machine in which players would place their game to receive an egg of a Pokémon that was being given out at that time. The store also had tables that were open for players of the Pokémon Trading Card Game to duel each other or an employee. The store was closed and replaced by the Nintendo World Store on May 14, 2005.[111] Four Pokémon Center kiosks were put in malls in the Seattle area.[112] The Pokémon Center online store was relaunched on August 6, 2014.[113]
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Professor of Education Joseph Tobin theorizes that the success of the franchise was due to the long list of names that could be learned by children and repeated in their peer groups. Its rich fictional universe provides opportunities for discussion and demonstration of knowledge in front of their peers. The names of the creatures were linked to its characteristics, which converged with the children's belief that names have symbolic power. Children can pick their favourite Pokémon and affirm their individuality while at the same time affirming their conformance to the values of the group, and they can distinguish themselves from others by asserting what they liked and what they did not like from every chapter. Pokémon gained popularity because it provides a sense of identity to a wide variety of children, and lost it quickly when many of those children found that the identity groups were too big and searched for identities that would distinguish them into smaller groups.[114]
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Pokémon's history has been marked at times by rivalry with the Digimon media franchise that debuted at a similar time. Described as "the other 'mon'" by IGN's Juan Castro, Digimon has not enjoyed Pokémon's level of international popularity or success, but has maintained a dedicated fanbase.[115] IGN's Lucas M. Thomas stated that Pokémon is Digimon's "constant competition and comparison", attributing the former's relative success to the simplicity of its evolution mechanic as opposed to Digivolution.[116] The two have been noted for conceptual and stylistic similarities by sources such as GameZone.[117] A debate among fans exists over which of the two franchises came first.[118] In actuality, the first Pokémon media, Pokémon Red and Green, were released initially on February 27, 1996;[119] whereas the Digimon virtual pet was released on June 26, 1997.
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While Pokémon's target demographic is children, early purchasers of Pokémon Omega Ruby and Alpha Sapphire were in their 20s.[120] Many fans are adults who originally played the games as children and had later returned to the series.[121]
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Numerous fan sites exist for the Pokémon franchise, including Bulbapedia, a wiki-based encyclopedia,[122][123][124] and Serebii,[125] a news and reference website.[126] Other large fan communities exist on other platforms, such as the r/pokemon subreddit with over 2.2 million subscribers.[127]
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A significant community around the Pokémon video games' metagame has existed for a long time, analyzing the best ways to use each Pokémon to their full potential in competitive battles. The most prolific competitive community is Smogon University, which has created a widely accepted tier-based battle system.[128]
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Smogon is affiliated with an online Pokémon game called Pokémon Showdown, in which players create a team and battle against other players around the world using the competitive tiers created by Smogon.[129]
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In early 2014, an anonymous video streamer on Twitch launched Twitch Plays Pokémon, an experiment trying to crowdsource playing subsequent Pokémon games, starting with Pokémon Red.[130][131]
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A challenge called the Nuzlocke Challenge allows players to only capture the first Pokémon encountered in each area. If they do not succeed in capturing that Pokémon, there are no second chances. When a Pokémon faints, it is considered "dead" and must be released or stored in the PC permanently.[132] If the player faints, the game is considered over, and the player must restart.[133] The original idea consisted of 2 to 3 rules that the community has built upon. There are many fan made Pokémon games that contain a game mode similar to the Nuzlocke Challenge, such as Pokémon Uranium.[134]
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A study at Stanford Neurosciences published in Nature performed magnetic resonance imaging scans of 11 Pokémon experts and 11 controls, finding that seeing Pokémon stimulated activity in the visual cortex, in a different place than is triggered by recognizing faces, places or words, demonstrating the brain's ability to create such specialized areas.[135]
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Cryptodira
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Pleurodira
|
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†Paracryptodira
|
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Turtles are reptiles of the order Testudines characterized by a special bony or cartilaginous shell developed from their ribs and acting as a shield.[3] "Turtle" may refer to the order as a whole (American English) or to fresh-water and sea-dwelling testudines (British English).[4] The order Testudines includes both extant (living) and extinct species. The earliest known members of this group date from the Middle Jurassic,[1] making turtles one of the oldest reptile groups and a more ancient group than snakes or crocodilians. Of the 356 known species[2] alive today, some are highly endangered.[2]
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Turtles are ectotherms—animals commonly called cold-blooded—meaning that their internal temperature varies according to the ambient environment. However, because of their high metabolic rate, leatherback sea turtles have a body temperature that is noticeably higher than that of the surrounding water. Turtles are classified as amniotes, along with other reptiles, birds, and mammals. Like other amniotes, turtles breathe air and do not lay eggs underwater, although many species live in or around water.
|
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Differences exist in usage of the common terms turtle, tortoise, and terrapin, depending on the variety of English being used.[5] These terms are common names and do not reflect precise biological or taxonomic distinctions.[6]
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Turtle may either refer to the order as a whole, or to particular turtles that make up a form taxon that is not monophyletic, or may be limited to only aquatic species. Tortoise usually refers to any land-dwelling, non-swimming chelonian.[7] Terrapin is used to describe several species of small, edible, hard-shell turtles, typically those found in brackish waters.
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In North America, all chelonians are commonly called turtles. Tortoise is used only in reference to fully terrestrial turtles or, more narrowly, only those members of Testudinidae, the family of modern land tortoises.[8][7] Terrapin may refer to small semi-aquatic turtles that live in fresh and brackish water, in particular the diamondback terrapin (Malaclemys terrapin).[9][10][11][12] Although the members of the genus Terrapene dwell mostly on land, they are referred to as box turtles rather than tortoises.[6] The American Society of Ichthyologists and Herpetologists uses "turtle" to describe all species of the order Testudines, regardless of whether they are land-dwelling or sea-dwelling, and uses "tortoise" as a more specific term for slow-moving terrestrial species.[5]
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In the United Kingdom, the word turtle is used for water-dwelling species, including ones known in the US as terrapins, but not for terrestrial species, which are known only as tortoises.
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The word chelonian is popular among veterinarians, scientists, and conservationists working with these animals as a catch-all name for any member of the superorder Chelonia, which includes all turtles living and extinct, as well as their immediate ancestors. Chelonia is based on the Greek word for turtles, χελώνη chelone; Greek χέλυς chelys "tortoise" is also used in the formation of scientific names of chelonians.[13] Testudines, on the other hand, is based on the Latin word for tortoise, testudo.[14] Terrapin comes from an Algonquian word for turtle.[8][15]
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Some languages do not have this distinction, as all of these are referred to by the same name. For example, in Spanish, the word tortuga is used for turtles, tortoises, and terrapins. A sea-dwelling turtle is tortuga marina, a freshwater species tortuga de río, and a tortoise tortuga terrestre.[16]
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The largest living chelonian is the leatherback sea turtle (Dermochelys coriacea), which reaches a shell length of 200 cm (6.6 ft) and can reach a weight of over 900 kg (2,000 lb). Freshwater turtles are generally smaller, but with the largest species, the Asian softshell turtle Pelochelys cantorii, a few individuals have been reported up to 200 cm (6.6 ft). This dwarfs even the better-known alligator snapping turtle, the largest chelonian in North America, which attains a shell length of up to 80 cm (2.6 ft) and weighs as much as 113.4 kg (250 lb).[17]
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Giant tortoises of the genera Geochelone, Meiolania, and others were relatively widely distributed around the world into prehistoric times, and are known to have existed in North and South America, Australia, and Africa. They became extinct at the same time as the appearance of man, and it is assumed humans hunted them for food. The only surviving giant tortoises are on the Seychelles and Galápagos Islands and can grow to over 130 cm (51 in) in length, and weigh about 300 kg (660 lb).[18]
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The largest ever chelonian was Archelon ischyros, a Late Cretaceous sea turtle known to have been up to 4.6 m (15 ft) long.[19]
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The smallest turtle is the speckled padloper tortoise of South Africa. It measures no more than 8 cm (3.1 in) in length and weighs about 140 g (4.9 oz). Two other species of small turtles are the American mud turtles and musk turtles that live in an area that ranges from Canada to South America. The shell length of many species in this group is less than 13 cm (5.1 in) in length.
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Turtles are divided into two groups, according to how they retract their necks into their shells (something the ancestral Proganochelys could not do). The mechanism of neck retraction differs phylogenetically: the suborder Pleurodira retracts laterally to the side, anterior to shoulder girdles, while the suborder Cryptodira retracts straight back, between shoulder girdles.[20] These motions are largely due to the morphology and arrangement of cervical vertebrae. Of all recent turtles, the cervical column consists of nine joints and eight vertebrae, which are individually independent.[21] Since these vertebrae are not fused and are rounded, the neck is more flexible, being able to bend in the backwards and sideways directions.[20] The primary function and evolutionary implication of neck retraction is thought to be for feeding rather than protection.[22] Neck retraction and reciprocal extension allows the turtle to reach out further to capture prey while swimming. Neck expansion creates suction when the head is thrust forward and the oropharynx is expanded, and this morphology suggests the retraction function is for feeding purposes as the suction helps catch prey.[22] The protection the shell provides the head when it is retracted is therefore not the main function of retraction, thus is an exaptation.[23] As for the difference between the two methods of retraction, both Pleurodirans and Cryptodirans use the quick extension of the neck as a method of predation, so the difference in retraction mechanism is not due to a difference in ecological niche.[24]
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Most turtles that spend most of their lives on land have their eyes looking down at objects in front of them. Some aquatic turtles, such as snapping turtles and soft-shelled turtles, have eyes closer to the top of the head. These species of turtle can hide from predators in shallow water, where they lie entirely submerged except for their eyes and nostrils. Near their eyes, sea turtles possess glands that produce salty tears that rid their body of excess salt taken in from the water they drink.
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Turtles have rigid beaks and use their jaws to cut and chew food. Instead of having teeth, which they appear to have lost about 150–200 million years ago,[25] the upper and lower jaws of the turtle are covered by horny ridges. Carnivorous turtles usually have knife-sharp ridges for slicing through their prey. Herbivorous turtles have serrated-edged ridges that help them cut through tough plants. They use their tongues to swallow food, but unlike most reptiles, they cannot stick out their tongues to catch food.
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The upper shell of the turtle is called the carapace. The lower shell that encases the belly is called the plastron. The carapace and plastron are joined together on the turtle's sides by bony structures called bridges. The inner layer of a turtle's shell is made up of about 60 bones that include portions of the backbone and the ribs, meaning the turtle cannot crawl out of its shell. In most turtles, the outer layer of the shell is covered by horny scales called scutes that are part of its outer skin, or epidermis. Scutes are made up of the fibrous protein keratin that also makes up the scales of other reptiles. These scutes overlap the seams between the shell bones and add strength to the shell. Some turtles do not have horny scutes; for example, the leatherback sea turtle and the soft-shelled turtles have shells covered with leathery skin instead.
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The shape of the shell gives helpful clues about how a turtle lives. Most tortoises have a large, dome-shaped shell that makes it difficult for predators to crush the shell between their jaws. One of the few exceptions is the African pancake tortoise, which has a flat, flexible shell that allows it to hide in rock crevices. Most aquatic turtles have flat, streamlined shells, which aid in swimming and diving. American snapping turtles and musk turtles have small, cross-shaped plastrons that give them more efficient leg movement for walking along the bottom of ponds and streams. Another exception is the Belawan Turtle (Cirebon, West Java), which has sunken-back soft-shell.
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The color of a turtle's shell may vary. Shells are commonly colored brown, black, or olive green. In some species, shells may have red, orange, yellow, or grey markings, often spots, lines, or irregular blotches. One of the most colorful turtles is the eastern painted turtle, which includes a yellow plastron and a black or olive shell with red markings around the rim.
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Tortoises, being land-based, have rather heavy shells. In contrast, aquatic and soft-shelled turtles have lighter shells that help them avoid sinking in water and swim faster with more agility. These lighter shells have large spaces called fontanelles between the shell bones. The shells of leatherback sea turtles are extremely light because they lack scutes and contain many fontanelles.
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It has been suggested by Jackson (2002) that the turtle shell can function as pH buffer. To endure through anoxic conditions, such as winter periods trapped beneath ice or within anoxic mud at the bottom of ponds, turtles utilize two general physiological mechanisms. In the case of prolonged periods of anoxia, it has been shown that the turtle shell both releases carbonate buffers and uptakes lactic acid.[26]
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Respiration, for many amniotes, is achieved by the contraction and relaxation of specific muscle groups (i.e. intercostals, abdominal muscles, and/or a diaphragm) attached to an internal rib-cage that can expand or contract the body wall thus assisting airflow in and out of the lungs.[27] The ribs of Chelonians, however, are fused with their carapace and external to their pelvic and pectoral girdles, a feature unique among turtles. This rigid shell is not capable of expansion, and by rendering their rib-cage immobile, Testudines have had to evolve special adaptations for respiration.[28][29]
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Turtle pulmonary ventilation occurs by using specific groups of abdominal muscles attached to their viscera and shell that pull the lungs ventrally during inspiration, where air is drawn in via a negative pressure gradient (Boyle's Law).[27] In expiration, the contraction of the transversus abdominis is the driving force by propelling the viscera into the lungs and expelling air under positive pressure.[28] Conversely, the relaxing and flattening of the oblique abdominis muscle pulls the transversus back down which, once again, draws air back into the lungs.[28] Important auxiliary muscles used for ventilatory processes are the pectoralis, which is used in conjunction with the transverse abdominis during inspiration, and the serratus, which moves with the abdominal oblique accompanying expiration.
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The lungs of Testudines are multi-chambered and attached their entire length down the carapace. The number of chambers can vary between taxa, though most commonly they have three lateral chambers, three medial chambers, and one terminal chamber.[30] As previously mentioned, the act of specific abdominal muscles pulling down the viscera (or pushing back up) is what allows for respiration in turtles. Specifically, it is the turtles large liver that pulls or pushes on the lungs.[28] Ventral to the lungs, in the coelomic cavity, the liver of turtles is attached directly to the right lung, and their stomach is directly attached to the left lung by the ventral mesopneumonium, which is attached to their liver by the ventral mesentery.[28] When the liver is pulled down, inspiration begins. Supporting the lungs is the post-pulmonary septum, which is found in all Testudines, and is thought to prevent the lungs from collapsing.[31]
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As mentioned above, the outer layer of the shell is part of the skin; each scute (or plate) on the shell corresponds to a single modified scale. The remainder of the skin has much smaller scales, similar to the skin of other reptiles. Turtles do not molt their skins all at once as snakes do, but continuously in small pieces. When turtles are kept in aquaria, small sheets of dead skin can be seen in the water (often appearing to be a thin piece of plastic) having been sloughed off when the animals deliberately rub themselves against a piece of wood or stone. Tortoises also shed skin, but dead skin is allowed to accumulate into thick knobs and plates that provide protection to parts of the body outside the shell.
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By counting the rings formed by the stack of smaller, older scutes on top of the larger, newer ones, it is possible to estimate the age of a turtle, if one knows how many scutes are produced in a year.[32] This method is not very accurate, partly because growth rate is not constant, but also because some of the scutes eventually fall away from the shell.
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Terrestrial tortoises have short, sturdy feet. Tortoises are famous for moving slowly, in part because of their heavy, cumbersome shells, which restrict stride length.
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Amphibious turtles normally have limbs similar to those of tortoises, except that the feet are webbed and often have long claws. These turtles swim using all four feet in a way similar to the dog paddle, with the feet on the left and right side of the body alternately providing thrust. Large turtles tend to swim less than smaller ones, and the very big species, such as alligator snapping turtles, hardly swim at all, preferring to walk along the bottom of the river or lake. As well as webbed feet, turtles have very long claws, used to help them clamber onto riverbanks and floating logs upon which they bask. Male turtles tend to have particularly long claws, and these appear to be used to stimulate the female while mating. While most turtles have webbed feet, some, such as the pig-nosed turtle, have true flippers, with the digits being fused into paddles and the claws being relatively small. These species swim in the same way as sea turtles do (see below).
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Sea turtles are almost entirely aquatic and have flippers instead of feet. Sea turtles fly through the water, using the up-and-down motion of the front flippers to generate thrust; the back feet are not used for propulsion but may be used as rudders for steering. Compared with freshwater turtles, sea turtles have very limited mobility on land, and apart from the dash from the nest to the sea as hatchlings, male sea turtles normally never leave the sea. Females must come back onto land to lay eggs. They move very slowly and laboriously, dragging themselves forwards with their flippers.
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Turtles are thought to have exceptional night vision due to the unusually large number of rod cells in their retinas. Turtles have color vision with a wealth of cone subtypes with sensitivities ranging from the near ultraviolet (UVA) to red. Some land turtles have very poor pursuit movement abilities, which are normally found only in predators that hunt quick-moving prey, but carnivorous turtles are able to move their heads quickly to snap.
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While typically thought of as mute, turtles make various sounds when communicating. Tortoises may be vocal when courting and mating. Various species of both freshwater and sea turtles emit numerous types of calls, often short and low frequency, from the time they are in the egg to when they are adults. These vocalizations may serve to create group cohesion when migrating.[33]
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It has been reported that wood turtles are better than white rats at learning to navigate mazes.[34] Case studies exist of turtles playing.[34] They do, however, have a very low encephalization quotient (relative brain to body mass), and their hard shells enable them to live without fast reflexes or elaborate predator avoidance strategies.[35]
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In the laboratory, turtles (Pseudemys nelsoni) can learn novel operant tasks and have demonstrated a long-term memory of at least 7.5 months.[36] Similarly, giant tortoises can learn and remember tasks, and master lessons much faster when trained in groups.[37] Remarkably, tortoises that were tested 9 years after the initial training still retained the operant conditioning.[38]
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Turtles are known for displaying a wide variety of mating behaviors, however, they are not known for forming pair-bonds or for being part of a social group.[39] Once fertilization has occurred and an offspring has been produced, neither parent will provide care for the offspring once it's hatched.[39] Females generally outnumber males in various turtle species (such as Green turtles), and as a result, most males will engage in multiple copulation with multiple partners throughout their lifespan.[40] However, due to the sexual dimorphism present in most turtle species, males must develop different courting strategies or use alternate methods to gain access to a potential mate.[41] Most terrestrial species have males that are larger than females, and fighting between males often determines a hierarchical order in which the higher up the order an individual is, the better the chance is of the individual getting access to a potential mate.[41] For most semi-aquatic species and bottom-walking aquatic species, combat occurs less often. Males belonging to semi-aquatic and bottom-walking species instead often use their larger size advantage to forcibly mate with a female.[41] In fully aquatic species, males are often smaller than females and therefore they cannot use the same strategy as their semi-aquatic relatives, which relies on overpowering the females with strength. Males in this category resort to using courtship displays in an attempt to gain mating access to a female.[41]
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Wood turtles are an example of a terrestrial species where the males have a hierarchical ranking system based on dominance through fighting, and it's shown that the males with the highest rank and thus the most wins in fights have the most offspring.[39]
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Galapagos tortoises are another example of a species which has a hierarchical rank that is determined by dominance displays, and access to food and mates is regulated by this dominance hierarchy.[42] Two male saddle backs most often compete for access to cactus trees, which is their source of food.[43] The winner is the individual who stretches their neck the highest, and that individual gets access to the cactus tree, which can attract potential mates.[43]
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The male scorpion mud turtle is an example of a bottom-walking aquatic species that relies on overpowering females with its larger size as a mating strategy.[41] The male approaches the female from the rear, and often resorts to aggressive methods such as biting the female's tail or hind limbs, followed by a mounting behavior in which the male clasps the edges of her carapace with his forelimbs and hind limbs to hold her in position.[44] The male follows this action by laterally waving his head and sometimes biting the female's head in an attempt to get her to withdraw her head into her shell. This exposes her cloaca, and with it exposed, the male can attempt copulation by trying to insert his grasping tail.[44]
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Male radiated tortoises are also known to use the force mating strategy wherein they use surrounding vegetation to trap or prevent females from escaping, then pin them down for copulation.[45]
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Red-eared sliders are an example of a fully aquatic species in which the male performs a courtship behavior. In this case the male extends his forelegs with the palms facing out and flutters his forelegs in the female's face.[46] Female choice is important in this method, and the females of some species, such as green sea turtles, aren't always receptive. As such, they've evolved certain behaviors to avoid the male's attempts at copulation, such as swimming away, confronting the male followed by biting, or a refusal position in which the female assumes a vertical position with her limbs widely outspread and her plastron facing the male.[40] If the water is too shallow to perform the refusal position, the females will resort to beaching themselves, which is a proven deterrent method, as the males will not follow them ashore.[40]
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Although many turtles spend large amounts of their lives underwater, all turtles and tortoises breathe air and must surface at regular intervals to refill their lungs. Immersion periods vary between 60 seconds and 1 hour depending on the species.[47] They can also spend much or all of their lives on dry land. Aquatic respiration in Australian freshwater turtles is currently being studied. Some species have large cloacal cavities that are lined with many finger-like projections. These projections, called papillae, have a rich blood supply and increase the surface area of the cloaca. The turtles can take up dissolved oxygen from the water using these papillae, in much the same way that fish use gills to respire.[48]
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Like other reptiles, turtles lay eggs that are slightly soft and leathery. The eggs of the largest species are spherical while the eggs of the rest are elongated. Their albumen is white and contains a different protein from bird eggs, such that it will not coagulate when cooked. Turtle eggs prepared to eat consist mainly of yolk. In some species, temperature determines whether an egg develops into a male or a female: a higher temperature causes a female, a lower temperature causes a male. Large numbers of eggs are deposited in holes dug into mud or sand. They are then covered and left to incubate by themselves. Depending on the species, the eggs will typically take 70–120 days to hatch.[citation needed] When the turtles hatch, they squirm their way to the surface and head toward the water. There are no known species in which the mother cares for her young.
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Sea turtles lay their eggs on dry, sandy beaches. Immature sea turtles are not cared for by the adults. Turtles can take many years to reach breeding age, and in many cases, breed every few years rather than annually.
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Researchers have recently discovered a turtle's organs do not gradually break down or become less efficient over time, unlike most other animals. It was found that the liver, lungs, and kidneys of a centenarian turtle are virtually indistinguishable from those of its immature counterpart. This has inspired genetic researchers to begin examining the turtle genome for longevity genes.[49]
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A group of turtles is known as a bale.[50]
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A turtle's diet varies greatly depending on the environment in which it lives. Adult turtles typically eat aquatic plants;[citation needed] invertebrates such as insects, snails, and worms; and have been reported to occasionally eat dead marine animals. Several small freshwater species are carnivorous, eating small fish and a wide range of aquatic life. However, protein is essential to turtle growth and juvenile turtles are purely carnivorous.
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Sea turtles typically feed on jellyfish, sponges, and other soft-bodied organisms. Some species with stronger jaws have been observed to eat shellfish, while others, such as the green sea turtle, do not eat meat at all and, instead, have a diet largely made up of algae.[51]
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Based on body fossils, the first proto-turtles are believed to have existed in the late Triassic Period of the Mesozoic era, about 220 million years ago, and their shell, which has remained a remarkably stable body plan, is thought to have evolved from bony extensions of their backbones and broad ribs that expanded and grew together to form a complete shell that offered protection at every stage of its evolution, even when the bony component of the shell was not complete. This is supported by fossils of the freshwater Odontochelys semitestacea or "half-shelled turtle with teeth", from the late Triassic, which have been found near Guangling in southwest China. Odontochelys displays a complete bony plastron and an incomplete carapace, similar to an early stage of turtle embryonic development.[52] Prior to this discovery, the earliest-known fossil turtle ancestors, like Proganochelys, were terrestrial and had a complete shell, offering no clue to the evolution of this remarkable anatomical feature. By the late Jurassic, turtles had radiated widely, and their fossil history becomes easier to read.
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Their exact ancestry has been disputed. It was believed they are the only surviving branch of the ancient evolutionary grade Anapsida, which includes groups such as procolophonids, millerettids, protorothyrids, and pareiasaurs. All anapsid skulls lack a temporal opening while all other extant amniotes have temporal openings (although in mammals, the hole has become the zygomatic arch). The millerettids, protorothyrids, and pareiasaurs became extinct in the late Permian period and the procolophonoids during the Triassic.[53]
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However, it was later suggested that the anapsid-like turtle skull may be due to reversion rather than to anapsid descent. More recent morphological phylogenetic studies with this in mind placed turtles firmly within diapsids, slightly closer to Squamata than to Archosauria.[54][55] All molecular studies have strongly upheld the placement of turtles within diapsids; some place turtles within Archosauria,[56] or, more commonly, as a sister group to extant archosaurs,[57][58][59][60] though an analysis conducted by Lyson et al. (2012) recovered turtles as the sister group of lepidosaurs instead.[61] Reanalysis of prior phylogenies suggests that they classified turtles as anapsids both because they assumed this classification (most of them studying what sort of anapsid turtles are) and because they did not sample fossil and extant taxa broadly enough for constructing the cladogram. Testudines were suggested to have diverged from other diapsids between 200 and 279 million years ago, though the debate is far from settled.[54][57][62] Even the traditional placement of turtles outside Diapsida cannot be ruled out at this point. A combined analysis of morphological and molecular data conducted by Lee (2001) found turtles to be anapsids (though a relationship with archosaurs couldn't be statistically rejected).[63] Similarly, a morphological study conducted by Lyson et al.. (2010) recovered them as anapsids most closely related to Eunotosaurus.[64] A molecular analysis of 248 nuclear genes from 16 vertebrate taxa suggests that turtles are a sister group to birds and crocodiles (the Archosauria).[65] The date of separation of turtles and birds and crocodiles was estimated to be 255 million years ago. The most recent common ancestor of living turtles, corresponding to the split between Pleurodira and Cryptodira, was estimated to have occurred around 157 million years ago.[66][67] The oldest definitive crown-group turtle (member of the modern clade Testudines) is the species Caribemys oxfordiensis from the late Jurassic period (Oxfordian stage).[66] Through utilizing the first genomic-scale phylogenetic analysis of ultraconserved elements (UCEs) to investigate the placement of turtles within reptiles, Crawford et al. (2012) also suggest that turtles are a sister group to birds and crocodiles (the Archosauria).[68]
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The first genome-wide phylogenetic analysis was completed by Wang et al. (2013). Using the draft genomes of Chelonia mydas and Pelodiscus sinensis, the team used the largest turtle data set to date in their analysis and concluded that turtles are likely a sister group of crocodilians and birds (Archosauria).[69] This placement within the diapsids suggests that the turtle lineage lost diapsid skull characteristics as it now possesses an anapsid-like skull.
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The earliest known fully shelled member of the turtle lineage is the late Triassic Proganochelys. This genus already possessed many advanced turtle traits, and thus probably indicates many millions of years of preceding turtle evolution; this is further supported by evidence from fossil tracks from the Early Triassic of the United States (Wyoming and Utah) and from the Middle Triassic of Germany, indicating that proto-turtles already existed as early as the Early Triassic.[70] Proganochelys lacked the ability to pull its head into its shell, had a long neck, and had a long, spiked tail ending in a club. While this body form is similar to that of ankylosaurs, it resulted from convergent evolution.
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Turtles are divided into two extant suborders: Cryptodira and Pleurodira. The Cryptodira is the larger of the two groups and includes all the marine turtles, the terrestrial tortoises, and many of the freshwater turtles. The Pleurodira are sometimes known as the side-necked turtles, a reference to the way they retract their heads into their shells. This smaller group consists primarily of various freshwater turtles. Until 3,000 years ago, the family Meiolaniidae was also extant, but this family is outside the Testudines crown group, belonging to Perichelydia.
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Order Testudines Linnaeus, 1758
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Turtle fossils of hatchling and nestling size have been documented in the scientific literature.[71] Paleontologists from North Carolina State University have found the fossilized remains of the world's largest turtle in a coal mine in Colombia. The specimen named as Carbonemys cofrinii is around 60 million years old and nearly 2.4 m (8 ft) long.[72]
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On a few rare occasions, paleontologists have succeeded in unearthing large numbers of Jurassic or Cretaceous turtle skeletons accumulated in a single area (the Nemegt Formation in Mongolia, the Turtle Graveyard in North Dakota, or the Black Mountain Turtle Layer in Wyoming). The most spectacular find of this kind to date occurred in 2009 in Shanshan County in Xinjiang, where over a thousand ancient freshwater turtles apparently died after the last water hole in an area dried out during a major drought.[73][74]
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Though absent from New Zealand in recent times, turtle fossils are known from the Miocene Saint Bathans Fauna, represented by a meiolaniid and pleurodires.[75]
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Turtles possess diverse chromosome numbers (2n = 28–66) and a myriad of chromosomal rearrangements have occurred during evolution.[76]
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Some turtles, particularly small terrestrial and freshwater turtles, are kept as pets. Among the most popular are Russian tortoises, spur-thighed tortoises, and red-eared sliders.[77]
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In the United States, due to the ease of contracting salmonellosis through casual contact with turtles, the U.S. Food and Drug Administration (FDA) established a regulation in 1975 to discontinue the sale of turtles under 4 in (100 mm).[78] It is supposed to be illegal in every US state for anyone to sell any turtles under 4 inches (10 cm) long, but many stores and flea markets still sell small turtles due to a loophole in the FDA regulation which allows turtles under 4 in (100 mm) to be sold for educational purposes.[79][80]
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Some states have other laws and regulations regarding possession of red-eared sliders as pets because they are looked upon as invasive species or pests where they are not native, but have been introduced through the pet trade. As of July 1, 2007, it is illegal in Florida to sell any wild type red-eared slider.[81] Unusual color varieties such as albino and pastel red-eared sliders, which are derived from captive breeding, are still allowed for sale in that state.
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In Europe, turtle and tortoise keeping became popular in the 1960s and 1970s, when large numbers of wild-caught turtles and tortoises were imported. This was especially devastating to the Mediterranean tortoise population. In the 1980s the import of wild-caught tortoises started to be banned in various countries. Most turtles and tortoises for sale in Europe today are captive-bred. [82]
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Turtles and tortoises are seen by some people as cheap pets that need little care. The complexity and expense of proper turtle and tortoise husbandry is often underestimated.[82] Most species of tortoise need a spacious outdoor enclosure with areas at different temperatures so they can thermoregulate. They also need opportunities to climb, dig and forage. Most species of tortoise should be fed dark, leafy greens with calcium and vitamin supplements. [83]
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Turtles require a large tub or aquarium with land areas where they can dry off completely and other areas where they can rest near the water's surface, on a piece of submerged driftwood for example. Like tortoises, turtles need access to UVB lighting and a varied diet rich in calcium. [84]
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The flesh of turtles, calipash or calipee, was and still is considered a delicacy in a number of cultures.[85] Turtle soup has been a prized dish in Anglo-American cuisine,[86] and still remains so in some parts of Asia.[which?] Gopher tortoise stew was popular with some groups in Florida.[87]
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Turtles remain a part of the traditional diet on the island of Grand Cayman, so much so that when wild stocks became depleted, a turtle farm was established specifically to raise sea turtles for their meat. The farm also releases specimens to the wild as part of an effort to repopulate the Caribbean Sea.[88]
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Fat from turtles is also used in the Caribbean and in Mexico as a main ingredient in cosmetics, marketed under its Spanish name crema de tortuga.[89]
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Turtle plastrons (the part of the shell that covers a tortoise from the bottom) are widely used in traditional Chinese medicine; according to statistics, Taiwan imports hundreds of tons of plastrons every year.[90] A popular medicinal preparation based on powdered turtle plastron (and a variety of herbs) is the guilinggao jelly;[91] these days, though, it is typically made with only herbal ingredients.
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In February 2011, the Tortoise and Freshwater Turtle Specialist Group published a report about the top 25 species of turtles most likely to become extinct, with a further 40 species at very high risk of becoming extinct. This list excludes sea turtles, however, both the leatherback and the Kemp's ridley would make the top 25 list. The report is due to be updated in four years time allowing to follow the evolution of the list. Between 48 and 54% of all 328 of their species considered threatened, turtles and tortoises are at a much higher risk of extinction than many other vertebrates. Of the 263 species of freshwater and terrestrial turtles, 117 species are considered Threatened, 73 are either Endangered or Critically Endangered and 1 is Extinct. Of the 58 species belonging to the family Testudinidae, 33 species are Threatened, 18 are either Endangered or Critically Endangered, 1 is Extinct in the wild and 7 species are Extinct. 71% of all tortoise species are either gone or almost gone. Asian species are the most endangered, closely followed by the five endemic species from Madagascar. Turtles face many threats, including habitat destruction, harvesting for consumption, and the pet trade. The high extinction risk for Asian species is primarily due to the long-term unsustainable exploitation of turtles and tortoises for consumption and traditional Chinese medicine, and to a lesser extent for the international pet trade.[92]
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Efforts have been made by Chinese entrepreneurs to satisfy increasing demand for turtle meat as gourmet food and traditional medicine with farmed turtles, instead of wild-caught ones; according to a study published in 2007, over a thousand turtle farms operated in China.[93][94] Turtle farms in Oklahoma and Louisiana raise turtles for export to China.[94]
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Nonetheless, wild turtles continue to be caught and sent to market in large number (as well as to turtle farms, to be used as breeding stock[93]), resulting in a situation described by conservationists as "the Asian turtle crisis".[95] In the words of the biologist George Amato, "the amount and the volume of captured turtles ... vacuumed up entire species from areas in Southeast Asia", even as biologists still did not know how many distinct turtle species live in the region.[96] About 75% of Asia's 90 tortoise and freshwater turtle species are estimated to have become threatened.[94]
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Harvesting wild turtles is legal in a number of states in the USA.[94] In one of these states, Florida, just a single seafood company in Fort Lauderdale was reported in 2008 as buying about 5,000 pounds of softshell turtles a week. The harvesters (hunters) are paid about $2 a pound; some manage to catch as many as 30–40 turtles (500 pounds) on a good day. Some of the catch gets to the local restaurants, while most of it is exported to Asia. The Florida Fish and Wildlife Conservation Commission estimated in 2008 that around 3,000 pounds of softshell turtles were exported each week via Tampa International Airport.[97]
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Nonetheless, the great majority of turtles exported from the USA are farm raised. According to one estimate by the World Chelonian Trust, about 97% of 31.8 million animals harvested in the U.S. over a three-year period (November 4, 2002 – November 26, 2005) were exported.[94][98] It has been estimated (presumably, over the same 2002–2005 period) that about 47% of the US turtle exports go to People's Republic of China (predominantly to Hong Kong), another 20% to Taiwan, and 11% to Mexico.[99][100]
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TurtleSAt is a smartphone app that has been developed in Australia in honor of World Turtle Day to help in the conservation of fresh water turtles in Australia. The app will allow the user to identify turtles with a picture guide and the location of turtles using the phones GPS to record sightings and help find hidden turtle nesting grounds. The app has been developed because there has been a high per cent of decline of fresh water turtles in Australia due to foxes, droughts, and urban development. The aim of the app is to reduce the number of foxes and help with targeting feral animal control.[101]
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Queensland's shark culling program, which has killed roughly 50,000 sharks since 1962, has also killed thousands of turtles as bycatch.[102][103] Over 5,000 marine turtles have been killed in Queensland's "shark control" program (which uses shark nets and drum lines).[103] The program has also killed 719 loggerhead turtles and 33 hawksbill turtles (hawksbill turtles are critically endangered).[103] New South Wales has a "shark control" program which has killed many turtles: its program uses shark nets,[104][105] in which more than 5,000 marine turtles have been caught.[106]
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Cryptodira
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Pleurodira
|
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†Paracryptodira
|
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Turtles are reptiles of the order Testudines characterized by a special bony or cartilaginous shell developed from their ribs and acting as a shield.[3] "Turtle" may refer to the order as a whole (American English) or to fresh-water and sea-dwelling testudines (British English).[4] The order Testudines includes both extant (living) and extinct species. The earliest known members of this group date from the Middle Jurassic,[1] making turtles one of the oldest reptile groups and a more ancient group than snakes or crocodilians. Of the 356 known species[2] alive today, some are highly endangered.[2]
|
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Turtles are ectotherms—animals commonly called cold-blooded—meaning that their internal temperature varies according to the ambient environment. However, because of their high metabolic rate, leatherback sea turtles have a body temperature that is noticeably higher than that of the surrounding water. Turtles are classified as amniotes, along with other reptiles, birds, and mammals. Like other amniotes, turtles breathe air and do not lay eggs underwater, although many species live in or around water.
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Differences exist in usage of the common terms turtle, tortoise, and terrapin, depending on the variety of English being used.[5] These terms are common names and do not reflect precise biological or taxonomic distinctions.[6]
|
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Turtle may either refer to the order as a whole, or to particular turtles that make up a form taxon that is not monophyletic, or may be limited to only aquatic species. Tortoise usually refers to any land-dwelling, non-swimming chelonian.[7] Terrapin is used to describe several species of small, edible, hard-shell turtles, typically those found in brackish waters.
|
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|
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In North America, all chelonians are commonly called turtles. Tortoise is used only in reference to fully terrestrial turtles or, more narrowly, only those members of Testudinidae, the family of modern land tortoises.[8][7] Terrapin may refer to small semi-aquatic turtles that live in fresh and brackish water, in particular the diamondback terrapin (Malaclemys terrapin).[9][10][11][12] Although the members of the genus Terrapene dwell mostly on land, they are referred to as box turtles rather than tortoises.[6] The American Society of Ichthyologists and Herpetologists uses "turtle" to describe all species of the order Testudines, regardless of whether they are land-dwelling or sea-dwelling, and uses "tortoise" as a more specific term for slow-moving terrestrial species.[5]
|
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In the United Kingdom, the word turtle is used for water-dwelling species, including ones known in the US as terrapins, but not for terrestrial species, which are known only as tortoises.
|
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+
|
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The word chelonian is popular among veterinarians, scientists, and conservationists working with these animals as a catch-all name for any member of the superorder Chelonia, which includes all turtles living and extinct, as well as their immediate ancestors. Chelonia is based on the Greek word for turtles, χελώνη chelone; Greek χέλυς chelys "tortoise" is also used in the formation of scientific names of chelonians.[13] Testudines, on the other hand, is based on the Latin word for tortoise, testudo.[14] Terrapin comes from an Algonquian word for turtle.[8][15]
|
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|
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Some languages do not have this distinction, as all of these are referred to by the same name. For example, in Spanish, the word tortuga is used for turtles, tortoises, and terrapins. A sea-dwelling turtle is tortuga marina, a freshwater species tortuga de río, and a tortoise tortuga terrestre.[16]
|
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The largest living chelonian is the leatherback sea turtle (Dermochelys coriacea), which reaches a shell length of 200 cm (6.6 ft) and can reach a weight of over 900 kg (2,000 lb). Freshwater turtles are generally smaller, but with the largest species, the Asian softshell turtle Pelochelys cantorii, a few individuals have been reported up to 200 cm (6.6 ft). This dwarfs even the better-known alligator snapping turtle, the largest chelonian in North America, which attains a shell length of up to 80 cm (2.6 ft) and weighs as much as 113.4 kg (250 lb).[17]
|
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Giant tortoises of the genera Geochelone, Meiolania, and others were relatively widely distributed around the world into prehistoric times, and are known to have existed in North and South America, Australia, and Africa. They became extinct at the same time as the appearance of man, and it is assumed humans hunted them for food. The only surviving giant tortoises are on the Seychelles and Galápagos Islands and can grow to over 130 cm (51 in) in length, and weigh about 300 kg (660 lb).[18]
|
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The largest ever chelonian was Archelon ischyros, a Late Cretaceous sea turtle known to have been up to 4.6 m (15 ft) long.[19]
|
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+
|
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+
The smallest turtle is the speckled padloper tortoise of South Africa. It measures no more than 8 cm (3.1 in) in length and weighs about 140 g (4.9 oz). Two other species of small turtles are the American mud turtles and musk turtles that live in an area that ranges from Canada to South America. The shell length of many species in this group is less than 13 cm (5.1 in) in length.
|
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|
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Turtles are divided into two groups, according to how they retract their necks into their shells (something the ancestral Proganochelys could not do). The mechanism of neck retraction differs phylogenetically: the suborder Pleurodira retracts laterally to the side, anterior to shoulder girdles, while the suborder Cryptodira retracts straight back, between shoulder girdles.[20] These motions are largely due to the morphology and arrangement of cervical vertebrae. Of all recent turtles, the cervical column consists of nine joints and eight vertebrae, which are individually independent.[21] Since these vertebrae are not fused and are rounded, the neck is more flexible, being able to bend in the backwards and sideways directions.[20] The primary function and evolutionary implication of neck retraction is thought to be for feeding rather than protection.[22] Neck retraction and reciprocal extension allows the turtle to reach out further to capture prey while swimming. Neck expansion creates suction when the head is thrust forward and the oropharynx is expanded, and this morphology suggests the retraction function is for feeding purposes as the suction helps catch prey.[22] The protection the shell provides the head when it is retracted is therefore not the main function of retraction, thus is an exaptation.[23] As for the difference between the two methods of retraction, both Pleurodirans and Cryptodirans use the quick extension of the neck as a method of predation, so the difference in retraction mechanism is not due to a difference in ecological niche.[24]
|
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Most turtles that spend most of their lives on land have their eyes looking down at objects in front of them. Some aquatic turtles, such as snapping turtles and soft-shelled turtles, have eyes closer to the top of the head. These species of turtle can hide from predators in shallow water, where they lie entirely submerged except for their eyes and nostrils. Near their eyes, sea turtles possess glands that produce salty tears that rid their body of excess salt taken in from the water they drink.
|
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Turtles have rigid beaks and use their jaws to cut and chew food. Instead of having teeth, which they appear to have lost about 150–200 million years ago,[25] the upper and lower jaws of the turtle are covered by horny ridges. Carnivorous turtles usually have knife-sharp ridges for slicing through their prey. Herbivorous turtles have serrated-edged ridges that help them cut through tough plants. They use their tongues to swallow food, but unlike most reptiles, they cannot stick out their tongues to catch food.
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The upper shell of the turtle is called the carapace. The lower shell that encases the belly is called the plastron. The carapace and plastron are joined together on the turtle's sides by bony structures called bridges. The inner layer of a turtle's shell is made up of about 60 bones that include portions of the backbone and the ribs, meaning the turtle cannot crawl out of its shell. In most turtles, the outer layer of the shell is covered by horny scales called scutes that are part of its outer skin, or epidermis. Scutes are made up of the fibrous protein keratin that also makes up the scales of other reptiles. These scutes overlap the seams between the shell bones and add strength to the shell. Some turtles do not have horny scutes; for example, the leatherback sea turtle and the soft-shelled turtles have shells covered with leathery skin instead.
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The shape of the shell gives helpful clues about how a turtle lives. Most tortoises have a large, dome-shaped shell that makes it difficult for predators to crush the shell between their jaws. One of the few exceptions is the African pancake tortoise, which has a flat, flexible shell that allows it to hide in rock crevices. Most aquatic turtles have flat, streamlined shells, which aid in swimming and diving. American snapping turtles and musk turtles have small, cross-shaped plastrons that give them more efficient leg movement for walking along the bottom of ponds and streams. Another exception is the Belawan Turtle (Cirebon, West Java), which has sunken-back soft-shell.
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The color of a turtle's shell may vary. Shells are commonly colored brown, black, or olive green. In some species, shells may have red, orange, yellow, or grey markings, often spots, lines, or irregular blotches. One of the most colorful turtles is the eastern painted turtle, which includes a yellow plastron and a black or olive shell with red markings around the rim.
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Tortoises, being land-based, have rather heavy shells. In contrast, aquatic and soft-shelled turtles have lighter shells that help them avoid sinking in water and swim faster with more agility. These lighter shells have large spaces called fontanelles between the shell bones. The shells of leatherback sea turtles are extremely light because they lack scutes and contain many fontanelles.
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It has been suggested by Jackson (2002) that the turtle shell can function as pH buffer. To endure through anoxic conditions, such as winter periods trapped beneath ice or within anoxic mud at the bottom of ponds, turtles utilize two general physiological mechanisms. In the case of prolonged periods of anoxia, it has been shown that the turtle shell both releases carbonate buffers and uptakes lactic acid.[26]
|
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Respiration, for many amniotes, is achieved by the contraction and relaxation of specific muscle groups (i.e. intercostals, abdominal muscles, and/or a diaphragm) attached to an internal rib-cage that can expand or contract the body wall thus assisting airflow in and out of the lungs.[27] The ribs of Chelonians, however, are fused with their carapace and external to their pelvic and pectoral girdles, a feature unique among turtles. This rigid shell is not capable of expansion, and by rendering their rib-cage immobile, Testudines have had to evolve special adaptations for respiration.[28][29]
|
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|
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Turtle pulmonary ventilation occurs by using specific groups of abdominal muscles attached to their viscera and shell that pull the lungs ventrally during inspiration, where air is drawn in via a negative pressure gradient (Boyle's Law).[27] In expiration, the contraction of the transversus abdominis is the driving force by propelling the viscera into the lungs and expelling air under positive pressure.[28] Conversely, the relaxing and flattening of the oblique abdominis muscle pulls the transversus back down which, once again, draws air back into the lungs.[28] Important auxiliary muscles used for ventilatory processes are the pectoralis, which is used in conjunction with the transverse abdominis during inspiration, and the serratus, which moves with the abdominal oblique accompanying expiration.
|
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|
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The lungs of Testudines are multi-chambered and attached their entire length down the carapace. The number of chambers can vary between taxa, though most commonly they have three lateral chambers, three medial chambers, and one terminal chamber.[30] As previously mentioned, the act of specific abdominal muscles pulling down the viscera (or pushing back up) is what allows for respiration in turtles. Specifically, it is the turtles large liver that pulls or pushes on the lungs.[28] Ventral to the lungs, in the coelomic cavity, the liver of turtles is attached directly to the right lung, and their stomach is directly attached to the left lung by the ventral mesopneumonium, which is attached to their liver by the ventral mesentery.[28] When the liver is pulled down, inspiration begins. Supporting the lungs is the post-pulmonary septum, which is found in all Testudines, and is thought to prevent the lungs from collapsing.[31]
|
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|
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As mentioned above, the outer layer of the shell is part of the skin; each scute (or plate) on the shell corresponds to a single modified scale. The remainder of the skin has much smaller scales, similar to the skin of other reptiles. Turtles do not molt their skins all at once as snakes do, but continuously in small pieces. When turtles are kept in aquaria, small sheets of dead skin can be seen in the water (often appearing to be a thin piece of plastic) having been sloughed off when the animals deliberately rub themselves against a piece of wood or stone. Tortoises also shed skin, but dead skin is allowed to accumulate into thick knobs and plates that provide protection to parts of the body outside the shell.
|
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|
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By counting the rings formed by the stack of smaller, older scutes on top of the larger, newer ones, it is possible to estimate the age of a turtle, if one knows how many scutes are produced in a year.[32] This method is not very accurate, partly because growth rate is not constant, but also because some of the scutes eventually fall away from the shell.
|
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Terrestrial tortoises have short, sturdy feet. Tortoises are famous for moving slowly, in part because of their heavy, cumbersome shells, which restrict stride length.
|
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Amphibious turtles normally have limbs similar to those of tortoises, except that the feet are webbed and often have long claws. These turtles swim using all four feet in a way similar to the dog paddle, with the feet on the left and right side of the body alternately providing thrust. Large turtles tend to swim less than smaller ones, and the very big species, such as alligator snapping turtles, hardly swim at all, preferring to walk along the bottom of the river or lake. As well as webbed feet, turtles have very long claws, used to help them clamber onto riverbanks and floating logs upon which they bask. Male turtles tend to have particularly long claws, and these appear to be used to stimulate the female while mating. While most turtles have webbed feet, some, such as the pig-nosed turtle, have true flippers, with the digits being fused into paddles and the claws being relatively small. These species swim in the same way as sea turtles do (see below).
|
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Sea turtles are almost entirely aquatic and have flippers instead of feet. Sea turtles fly through the water, using the up-and-down motion of the front flippers to generate thrust; the back feet are not used for propulsion but may be used as rudders for steering. Compared with freshwater turtles, sea turtles have very limited mobility on land, and apart from the dash from the nest to the sea as hatchlings, male sea turtles normally never leave the sea. Females must come back onto land to lay eggs. They move very slowly and laboriously, dragging themselves forwards with their flippers.
|
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Turtles are thought to have exceptional night vision due to the unusually large number of rod cells in their retinas. Turtles have color vision with a wealth of cone subtypes with sensitivities ranging from the near ultraviolet (UVA) to red. Some land turtles have very poor pursuit movement abilities, which are normally found only in predators that hunt quick-moving prey, but carnivorous turtles are able to move their heads quickly to snap.
|
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While typically thought of as mute, turtles make various sounds when communicating. Tortoises may be vocal when courting and mating. Various species of both freshwater and sea turtles emit numerous types of calls, often short and low frequency, from the time they are in the egg to when they are adults. These vocalizations may serve to create group cohesion when migrating.[33]
|
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It has been reported that wood turtles are better than white rats at learning to navigate mazes.[34] Case studies exist of turtles playing.[34] They do, however, have a very low encephalization quotient (relative brain to body mass), and their hard shells enable them to live without fast reflexes or elaborate predator avoidance strategies.[35]
|
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In the laboratory, turtles (Pseudemys nelsoni) can learn novel operant tasks and have demonstrated a long-term memory of at least 7.5 months.[36] Similarly, giant tortoises can learn and remember tasks, and master lessons much faster when trained in groups.[37] Remarkably, tortoises that were tested 9 years after the initial training still retained the operant conditioning.[38]
|
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Turtles are known for displaying a wide variety of mating behaviors, however, they are not known for forming pair-bonds or for being part of a social group.[39] Once fertilization has occurred and an offspring has been produced, neither parent will provide care for the offspring once it's hatched.[39] Females generally outnumber males in various turtle species (such as Green turtles), and as a result, most males will engage in multiple copulation with multiple partners throughout their lifespan.[40] However, due to the sexual dimorphism present in most turtle species, males must develop different courting strategies or use alternate methods to gain access to a potential mate.[41] Most terrestrial species have males that are larger than females, and fighting between males often determines a hierarchical order in which the higher up the order an individual is, the better the chance is of the individual getting access to a potential mate.[41] For most semi-aquatic species and bottom-walking aquatic species, combat occurs less often. Males belonging to semi-aquatic and bottom-walking species instead often use their larger size advantage to forcibly mate with a female.[41] In fully aquatic species, males are often smaller than females and therefore they cannot use the same strategy as their semi-aquatic relatives, which relies on overpowering the females with strength. Males in this category resort to using courtship displays in an attempt to gain mating access to a female.[41]
|
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|
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Wood turtles are an example of a terrestrial species where the males have a hierarchical ranking system based on dominance through fighting, and it's shown that the males with the highest rank and thus the most wins in fights have the most offspring.[39]
|
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+
|
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Galapagos tortoises are another example of a species which has a hierarchical rank that is determined by dominance displays, and access to food and mates is regulated by this dominance hierarchy.[42] Two male saddle backs most often compete for access to cactus trees, which is their source of food.[43] The winner is the individual who stretches their neck the highest, and that individual gets access to the cactus tree, which can attract potential mates.[43]
|
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|
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The male scorpion mud turtle is an example of a bottom-walking aquatic species that relies on overpowering females with its larger size as a mating strategy.[41] The male approaches the female from the rear, and often resorts to aggressive methods such as biting the female's tail or hind limbs, followed by a mounting behavior in which the male clasps the edges of her carapace with his forelimbs and hind limbs to hold her in position.[44] The male follows this action by laterally waving his head and sometimes biting the female's head in an attempt to get her to withdraw her head into her shell. This exposes her cloaca, and with it exposed, the male can attempt copulation by trying to insert his grasping tail.[44]
|
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|
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Male radiated tortoises are also known to use the force mating strategy wherein they use surrounding vegetation to trap or prevent females from escaping, then pin them down for copulation.[45]
|
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Red-eared sliders are an example of a fully aquatic species in which the male performs a courtship behavior. In this case the male extends his forelegs with the palms facing out and flutters his forelegs in the female's face.[46] Female choice is important in this method, and the females of some species, such as green sea turtles, aren't always receptive. As such, they've evolved certain behaviors to avoid the male's attempts at copulation, such as swimming away, confronting the male followed by biting, or a refusal position in which the female assumes a vertical position with her limbs widely outspread and her plastron facing the male.[40] If the water is too shallow to perform the refusal position, the females will resort to beaching themselves, which is a proven deterrent method, as the males will not follow them ashore.[40]
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Although many turtles spend large amounts of their lives underwater, all turtles and tortoises breathe air and must surface at regular intervals to refill their lungs. Immersion periods vary between 60 seconds and 1 hour depending on the species.[47] They can also spend much or all of their lives on dry land. Aquatic respiration in Australian freshwater turtles is currently being studied. Some species have large cloacal cavities that are lined with many finger-like projections. These projections, called papillae, have a rich blood supply and increase the surface area of the cloaca. The turtles can take up dissolved oxygen from the water using these papillae, in much the same way that fish use gills to respire.[48]
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Like other reptiles, turtles lay eggs that are slightly soft and leathery. The eggs of the largest species are spherical while the eggs of the rest are elongated. Their albumen is white and contains a different protein from bird eggs, such that it will not coagulate when cooked. Turtle eggs prepared to eat consist mainly of yolk. In some species, temperature determines whether an egg develops into a male or a female: a higher temperature causes a female, a lower temperature causes a male. Large numbers of eggs are deposited in holes dug into mud or sand. They are then covered and left to incubate by themselves. Depending on the species, the eggs will typically take 70–120 days to hatch.[citation needed] When the turtles hatch, they squirm their way to the surface and head toward the water. There are no known species in which the mother cares for her young.
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Sea turtles lay their eggs on dry, sandy beaches. Immature sea turtles are not cared for by the adults. Turtles can take many years to reach breeding age, and in many cases, breed every few years rather than annually.
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Researchers have recently discovered a turtle's organs do not gradually break down or become less efficient over time, unlike most other animals. It was found that the liver, lungs, and kidneys of a centenarian turtle are virtually indistinguishable from those of its immature counterpart. This has inspired genetic researchers to begin examining the turtle genome for longevity genes.[49]
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A group of turtles is known as a bale.[50]
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A turtle's diet varies greatly depending on the environment in which it lives. Adult turtles typically eat aquatic plants;[citation needed] invertebrates such as insects, snails, and worms; and have been reported to occasionally eat dead marine animals. Several small freshwater species are carnivorous, eating small fish and a wide range of aquatic life. However, protein is essential to turtle growth and juvenile turtles are purely carnivorous.
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Sea turtles typically feed on jellyfish, sponges, and other soft-bodied organisms. Some species with stronger jaws have been observed to eat shellfish, while others, such as the green sea turtle, do not eat meat at all and, instead, have a diet largely made up of algae.[51]
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Based on body fossils, the first proto-turtles are believed to have existed in the late Triassic Period of the Mesozoic era, about 220 million years ago, and their shell, which has remained a remarkably stable body plan, is thought to have evolved from bony extensions of their backbones and broad ribs that expanded and grew together to form a complete shell that offered protection at every stage of its evolution, even when the bony component of the shell was not complete. This is supported by fossils of the freshwater Odontochelys semitestacea or "half-shelled turtle with teeth", from the late Triassic, which have been found near Guangling in southwest China. Odontochelys displays a complete bony plastron and an incomplete carapace, similar to an early stage of turtle embryonic development.[52] Prior to this discovery, the earliest-known fossil turtle ancestors, like Proganochelys, were terrestrial and had a complete shell, offering no clue to the evolution of this remarkable anatomical feature. By the late Jurassic, turtles had radiated widely, and their fossil history becomes easier to read.
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Their exact ancestry has been disputed. It was believed they are the only surviving branch of the ancient evolutionary grade Anapsida, which includes groups such as procolophonids, millerettids, protorothyrids, and pareiasaurs. All anapsid skulls lack a temporal opening while all other extant amniotes have temporal openings (although in mammals, the hole has become the zygomatic arch). The millerettids, protorothyrids, and pareiasaurs became extinct in the late Permian period and the procolophonoids during the Triassic.[53]
|
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However, it was later suggested that the anapsid-like turtle skull may be due to reversion rather than to anapsid descent. More recent morphological phylogenetic studies with this in mind placed turtles firmly within diapsids, slightly closer to Squamata than to Archosauria.[54][55] All molecular studies have strongly upheld the placement of turtles within diapsids; some place turtles within Archosauria,[56] or, more commonly, as a sister group to extant archosaurs,[57][58][59][60] though an analysis conducted by Lyson et al. (2012) recovered turtles as the sister group of lepidosaurs instead.[61] Reanalysis of prior phylogenies suggests that they classified turtles as anapsids both because they assumed this classification (most of them studying what sort of anapsid turtles are) and because they did not sample fossil and extant taxa broadly enough for constructing the cladogram. Testudines were suggested to have diverged from other diapsids between 200 and 279 million years ago, though the debate is far from settled.[54][57][62] Even the traditional placement of turtles outside Diapsida cannot be ruled out at this point. A combined analysis of morphological and molecular data conducted by Lee (2001) found turtles to be anapsids (though a relationship with archosaurs couldn't be statistically rejected).[63] Similarly, a morphological study conducted by Lyson et al.. (2010) recovered them as anapsids most closely related to Eunotosaurus.[64] A molecular analysis of 248 nuclear genes from 16 vertebrate taxa suggests that turtles are a sister group to birds and crocodiles (the Archosauria).[65] The date of separation of turtles and birds and crocodiles was estimated to be 255 million years ago. The most recent common ancestor of living turtles, corresponding to the split between Pleurodira and Cryptodira, was estimated to have occurred around 157 million years ago.[66][67] The oldest definitive crown-group turtle (member of the modern clade Testudines) is the species Caribemys oxfordiensis from the late Jurassic period (Oxfordian stage).[66] Through utilizing the first genomic-scale phylogenetic analysis of ultraconserved elements (UCEs) to investigate the placement of turtles within reptiles, Crawford et al. (2012) also suggest that turtles are a sister group to birds and crocodiles (the Archosauria).[68]
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The first genome-wide phylogenetic analysis was completed by Wang et al. (2013). Using the draft genomes of Chelonia mydas and Pelodiscus sinensis, the team used the largest turtle data set to date in their analysis and concluded that turtles are likely a sister group of crocodilians and birds (Archosauria).[69] This placement within the diapsids suggests that the turtle lineage lost diapsid skull characteristics as it now possesses an anapsid-like skull.
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The earliest known fully shelled member of the turtle lineage is the late Triassic Proganochelys. This genus already possessed many advanced turtle traits, and thus probably indicates many millions of years of preceding turtle evolution; this is further supported by evidence from fossil tracks from the Early Triassic of the United States (Wyoming and Utah) and from the Middle Triassic of Germany, indicating that proto-turtles already existed as early as the Early Triassic.[70] Proganochelys lacked the ability to pull its head into its shell, had a long neck, and had a long, spiked tail ending in a club. While this body form is similar to that of ankylosaurs, it resulted from convergent evolution.
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Turtles are divided into two extant suborders: Cryptodira and Pleurodira. The Cryptodira is the larger of the two groups and includes all the marine turtles, the terrestrial tortoises, and many of the freshwater turtles. The Pleurodira are sometimes known as the side-necked turtles, a reference to the way they retract their heads into their shells. This smaller group consists primarily of various freshwater turtles. Until 3,000 years ago, the family Meiolaniidae was also extant, but this family is outside the Testudines crown group, belonging to Perichelydia.
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Order Testudines Linnaeus, 1758
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Turtle fossils of hatchling and nestling size have been documented in the scientific literature.[71] Paleontologists from North Carolina State University have found the fossilized remains of the world's largest turtle in a coal mine in Colombia. The specimen named as Carbonemys cofrinii is around 60 million years old and nearly 2.4 m (8 ft) long.[72]
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On a few rare occasions, paleontologists have succeeded in unearthing large numbers of Jurassic or Cretaceous turtle skeletons accumulated in a single area (the Nemegt Formation in Mongolia, the Turtle Graveyard in North Dakota, or the Black Mountain Turtle Layer in Wyoming). The most spectacular find of this kind to date occurred in 2009 in Shanshan County in Xinjiang, where over a thousand ancient freshwater turtles apparently died after the last water hole in an area dried out during a major drought.[73][74]
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Though absent from New Zealand in recent times, turtle fossils are known from the Miocene Saint Bathans Fauna, represented by a meiolaniid and pleurodires.[75]
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Turtles possess diverse chromosome numbers (2n = 28–66) and a myriad of chromosomal rearrangements have occurred during evolution.[76]
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Some turtles, particularly small terrestrial and freshwater turtles, are kept as pets. Among the most popular are Russian tortoises, spur-thighed tortoises, and red-eared sliders.[77]
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In the United States, due to the ease of contracting salmonellosis through casual contact with turtles, the U.S. Food and Drug Administration (FDA) established a regulation in 1975 to discontinue the sale of turtles under 4 in (100 mm).[78] It is supposed to be illegal in every US state for anyone to sell any turtles under 4 inches (10 cm) long, but many stores and flea markets still sell small turtles due to a loophole in the FDA regulation which allows turtles under 4 in (100 mm) to be sold for educational purposes.[79][80]
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Some states have other laws and regulations regarding possession of red-eared sliders as pets because they are looked upon as invasive species or pests where they are not native, but have been introduced through the pet trade. As of July 1, 2007, it is illegal in Florida to sell any wild type red-eared slider.[81] Unusual color varieties such as albino and pastel red-eared sliders, which are derived from captive breeding, are still allowed for sale in that state.
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In Europe, turtle and tortoise keeping became popular in the 1960s and 1970s, when large numbers of wild-caught turtles and tortoises were imported. This was especially devastating to the Mediterranean tortoise population. In the 1980s the import of wild-caught tortoises started to be banned in various countries. Most turtles and tortoises for sale in Europe today are captive-bred. [82]
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Turtles and tortoises are seen by some people as cheap pets that need little care. The complexity and expense of proper turtle and tortoise husbandry is often underestimated.[82] Most species of tortoise need a spacious outdoor enclosure with areas at different temperatures so they can thermoregulate. They also need opportunities to climb, dig and forage. Most species of tortoise should be fed dark, leafy greens with calcium and vitamin supplements. [83]
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Turtles require a large tub or aquarium with land areas where they can dry off completely and other areas where they can rest near the water's surface, on a piece of submerged driftwood for example. Like tortoises, turtles need access to UVB lighting and a varied diet rich in calcium. [84]
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The flesh of turtles, calipash or calipee, was and still is considered a delicacy in a number of cultures.[85] Turtle soup has been a prized dish in Anglo-American cuisine,[86] and still remains so in some parts of Asia.[which?] Gopher tortoise stew was popular with some groups in Florida.[87]
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Turtles remain a part of the traditional diet on the island of Grand Cayman, so much so that when wild stocks became depleted, a turtle farm was established specifically to raise sea turtles for their meat. The farm also releases specimens to the wild as part of an effort to repopulate the Caribbean Sea.[88]
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Fat from turtles is also used in the Caribbean and in Mexico as a main ingredient in cosmetics, marketed under its Spanish name crema de tortuga.[89]
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Turtle plastrons (the part of the shell that covers a tortoise from the bottom) are widely used in traditional Chinese medicine; according to statistics, Taiwan imports hundreds of tons of plastrons every year.[90] A popular medicinal preparation based on powdered turtle plastron (and a variety of herbs) is the guilinggao jelly;[91] these days, though, it is typically made with only herbal ingredients.
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In February 2011, the Tortoise and Freshwater Turtle Specialist Group published a report about the top 25 species of turtles most likely to become extinct, with a further 40 species at very high risk of becoming extinct. This list excludes sea turtles, however, both the leatherback and the Kemp's ridley would make the top 25 list. The report is due to be updated in four years time allowing to follow the evolution of the list. Between 48 and 54% of all 328 of their species considered threatened, turtles and tortoises are at a much higher risk of extinction than many other vertebrates. Of the 263 species of freshwater and terrestrial turtles, 117 species are considered Threatened, 73 are either Endangered or Critically Endangered and 1 is Extinct. Of the 58 species belonging to the family Testudinidae, 33 species are Threatened, 18 are either Endangered or Critically Endangered, 1 is Extinct in the wild and 7 species are Extinct. 71% of all tortoise species are either gone or almost gone. Asian species are the most endangered, closely followed by the five endemic species from Madagascar. Turtles face many threats, including habitat destruction, harvesting for consumption, and the pet trade. The high extinction risk for Asian species is primarily due to the long-term unsustainable exploitation of turtles and tortoises for consumption and traditional Chinese medicine, and to a lesser extent for the international pet trade.[92]
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Efforts have been made by Chinese entrepreneurs to satisfy increasing demand for turtle meat as gourmet food and traditional medicine with farmed turtles, instead of wild-caught ones; according to a study published in 2007, over a thousand turtle farms operated in China.[93][94] Turtle farms in Oklahoma and Louisiana raise turtles for export to China.[94]
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Nonetheless, wild turtles continue to be caught and sent to market in large number (as well as to turtle farms, to be used as breeding stock[93]), resulting in a situation described by conservationists as "the Asian turtle crisis".[95] In the words of the biologist George Amato, "the amount and the volume of captured turtles ... vacuumed up entire species from areas in Southeast Asia", even as biologists still did not know how many distinct turtle species live in the region.[96] About 75% of Asia's 90 tortoise and freshwater turtle species are estimated to have become threatened.[94]
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Harvesting wild turtles is legal in a number of states in the USA.[94] In one of these states, Florida, just a single seafood company in Fort Lauderdale was reported in 2008 as buying about 5,000 pounds of softshell turtles a week. The harvesters (hunters) are paid about $2 a pound; some manage to catch as many as 30–40 turtles (500 pounds) on a good day. Some of the catch gets to the local restaurants, while most of it is exported to Asia. The Florida Fish and Wildlife Conservation Commission estimated in 2008 that around 3,000 pounds of softshell turtles were exported each week via Tampa International Airport.[97]
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Nonetheless, the great majority of turtles exported from the USA are farm raised. According to one estimate by the World Chelonian Trust, about 97% of 31.8 million animals harvested in the U.S. over a three-year period (November 4, 2002 – November 26, 2005) were exported.[94][98] It has been estimated (presumably, over the same 2002–2005 period) that about 47% of the US turtle exports go to People's Republic of China (predominantly to Hong Kong), another 20% to Taiwan, and 11% to Mexico.[99][100]
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TurtleSAt is a smartphone app that has been developed in Australia in honor of World Turtle Day to help in the conservation of fresh water turtles in Australia. The app will allow the user to identify turtles with a picture guide and the location of turtles using the phones GPS to record sightings and help find hidden turtle nesting grounds. The app has been developed because there has been a high per cent of decline of fresh water turtles in Australia due to foxes, droughts, and urban development. The aim of the app is to reduce the number of foxes and help with targeting feral animal control.[101]
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Queensland's shark culling program, which has killed roughly 50,000 sharks since 1962, has also killed thousands of turtles as bycatch.[102][103] Over 5,000 marine turtles have been killed in Queensland's "shark control" program (which uses shark nets and drum lines).[103] The program has also killed 719 loggerhead turtles and 33 hawksbill turtles (hawksbill turtles are critically endangered).[103] New South Wales has a "shark control" program which has killed many turtles: its program uses shark nets,[104][105] in which more than 5,000 marine turtles have been caught.[106]
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The Papal Basilica of Saint Peter in the Vatican (Italian: Basilica Papale di San Pietro in Vaticano), or simply Saint Peter's Basilica (Latin: Basilica Sancti Petri), is a church built in the Renaissance style located in Vatican City, the papal enclave which is within the city of Rome.
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Designed principally by Donato Bramante, Michelangelo, Carlo Maderno and Gian Lorenzo Bernini, St. Peter's is the most renowned work of Renaissance architecture[2] and the largest church in the world.[3] While it is neither the mother church of the Catholic Church nor the cathedral of the Diocese of Rome (these equivalent titles being held by the Archbasilica of Saint John Lateran in Rome), St. Peter's is regarded as one of the holiest Catholic shrines. It has been described as "holding a unique position in the Christian world"[4] and as "the greatest of all churches of Christendom".[2][5]
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Catholic tradition holds that the basilica is the burial site of Saint Peter, chief among Jesus's apostles and also the first Bishop of Rome (Pope). Saint Peter's tomb is supposedly directly below the high altar of the basilica. For this reason, many popes have been interred at St. Peter's since the Early Christian period. A church has stood on this site since the time of the Roman emperor Constantine the Great. Old St. Peter's Basilica dates from the 4th century AD. Construction of the present basilica began on 18 April 1506 and was completed on 18 November 1626.[6]
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St. Peter's is famous as a place of pilgrimage and for its liturgical functions. The pope presides at a number of liturgies throughout the year both within the basilica or the adjoining St. Peter's Square; these liturgies draw audiences numbering from 15,000 to over 80,000 people.[7] St. Peter's has many historical associations, with the Early Christian Church, the Papacy, the Protestant Reformation and Catholic Counter-reformation and numerous artists, especially Michelangelo. As a work of architecture, it is regarded as the greatest building of its age.[8] St. Peter's is one of the four churches in the world that hold the rank of major basilica, all four of which are in Rome. Contrary to popular misconception, it is not a cathedral because it is not the seat of a bishop; the cathedra of the pope as Bishop of Rome is at Saint John Lateran.[9]
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St. Peter's is a church built in the Renaissance style located in the Vatican City west of the River Tiber and near the Janiculum Hill and Hadrian's Mausoleum. Its central dome dominates the skyline of Rome. The basilica is approached via St. Peter's Square, a forecourt in two sections, both surrounded by tall colonnades. The first space is oval and the second trapezoidal. The façade of the basilica, with a giant order of columns, stretches across the end of the square and is approached by steps on which stand two 5.55 metres (18.2 ft) statues of the 1st-century apostles to Rome, Saints Peter and Paul.[10][11]
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The basilica is cruciform in shape, with an elongated nave in the Latin cross form but the early designs were for a centrally planned structure and this is still in evidence in the architecture. The central space is dominated both externally and internally by one of the largest domes in the world. The entrance is through a narthex, or entrance hall, which stretches across the building. One of the decorated bronze doors leading from the narthex is the Holy Door, only opened during jubilees.[10]
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The interior dimensions are vast when compared to other churches.[6] One author wrote: "Only gradually does it dawn upon us – as we watch people draw near to this or that monument, strangely they appear to shrink; they are, of course, dwarfed by the scale of everything in the building. This in its turn overwhelms us."[12]
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The nave which leads to the central dome is in three bays, with piers supporting a barrel-vault, the highest of any church. The nave is framed by wide aisles which have a number of chapels off them. There are also chapels surrounding the dome. Moving around the basilica in a clockwise direction they are: The Baptistery, the Chapel of the Presentation of the Virgin, the larger Choir Chapel, the altar of the Transfiguration, the Clementine Chapel with the altar of Saint Gregory, the Sacristy Entrance, the Altar of the Lie, the left transept with altars to the Crucifixion of Saint Peter, Saint Joseph and Saint Thomas, the altar of the Sacred Heart, the Chapel of the Madonna of Column, the altar of Saint Peter and the Paralytic, the apse with the Chair of Saint Peter, the altar of Saint Peter raising Tabitha, the altar of St. Petronilla, the altar of the Archangel Michael, the altar of the Navicella, the right transept with altars of Saint Erasmus, Saints Processo and Martiniano, and Saint Wenceslas, the altar of St. Jerome, the altar of Saint Basil, the Gregorian Chapel with the altar of the Madonna of Succour, the larger Chapel of the Holy Sacrament, the Chapel of Saint Sebastian and the Chapel of the Pietà.[10] The Monuments, in a clockwise direction, are to: Maria Clementina Sobieski, The Stuarts, Benedict XV, John XXIII, St. Pius X, Innocent VIII, Leo XI, Innocent XI, Pius VII, Pius VIII, Alexander VII, Alexander VIII, Paul III, Urban VIII, Clement X, Clement XIII, Benedict XIV, St Peter (Bronze Statue), Gregory XVI, Gregory XIV, Gregory XIII, Matilda of Canossa, Innocent XII, Pius XII, Pius XI, Christina of Sweden, Leo XII.
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At the heart of the basilica, beneath the high altar, is the Confessio or Chapel of the Confession, in reference to the confession of faith by St. Peter, which led to his martyrdom. Two curving marble staircases lead to this underground chapel at the level of the Constantinian church and immediately above the purported burial place of Saint Peter.
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The entire interior of St. Peter's is lavishly decorated with marble, reliefs, architectural sculpture and gilding. The basilica contains a large number of tombs of popes and other notable people, many of which are considered outstanding artworks. There are also a number of sculptures in niches and chapels, including Michelangelo's Pietà. The central feature is a baldachin, or canopy over the Papal Altar, designed by Gian Lorenzo Bernini. The apse culminates in a sculptural ensemble, also by Bernini, and containing the symbolic Chair of Saint Peter.
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One observer wrote: "St Peter's Basilica is the reason why Rome is still the center of the civilized world. For religious, historical, and architectural reasons it by itself justifies a journey to Rome, and its interior offers a palimpsest of artistic styles at their best ..."[13]
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The American philosopher Ralph Waldo Emerson described St. Peter's as "an ornament of the earth ... the sublime of the beautiful."[14]
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St. Peter's Basilica is one of the papal basilicas (previously styled "patriarchal basilicas")[15] and one of the four Major Basilicas of Rome, the other Major Basilicas (all of which are also Papal Basilicas) being the Basilicas of St. John Lateran, St. Mary Major, and St. Paul outside the Walls. The rank of major basilica confers on St. Peter's Basilica precedence before all minor basilicas worldwide. However, unlike all the other Papal Major Basilicas, it is wholly within the territory, and thus the sovereign jurisdiction, of the Vatican City State, and not that of Italy.[16] This is in contrast to the other three Papal Major Basilicas, which are within Italian territory and not the territory of the Vatican City State. (Lateran Treaty of 1929, Article 15 (Ibidem)) However, the Holy See fully owns these three basilicas, and Italy is legally obligated to recognize its full ownership thereof (Lateran Treaty of 1929, Article 13 (Ibidem)) and to concede to all of them "the immunity granted by International Law to the headquarters of the diplomatic agents of foreign States" (Lateran Treaty of 1929, Article 15 (Ibidem)).
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It is the most prominent building in the Vatican City. Its dome is a dominant feature of the skyline of Rome. Probably the largest church in Christendom,[3] it covers an area of 2.3 hectares (5.7 acres). One of the holiest sites of Christianity and Catholic Tradition, it is traditionally the burial site of its titular, St. Peter, who was the head of the twelve Apostles of Jesus and, according to tradition, the first Bishop of Antioch and later the first Bishop of Rome, rendering him the first Pope. Although the New Testament does not mention St. Peter's martyrdom in Rome, tradition, based on the writings of the Fathers of the Church,[clarification needed] holds that his tomb is below the baldachin and altar of the Basilica in the "Confession". For this reason, many Popes have, from the early years of the Church, been buried near Pope St. Peter in the necropolis beneath the Basilica. Construction of the current basilica, over the old Constantinian basilica, began on 18 April 1506 and finished in 1615. At length, on 18 November 1626 Pope Urban VIII solemnly dedicated the Basilica.[6]
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St. Peter's Basilica is neither the Pope's official seat nor first in rank among the Major Basilicas of Rome. This honour is held by the Pope's cathedral, the Archbasilica of St. John Lateran which is the mother church of all churches in communion with the Catholic Church. However, St. Peter's is certainly the Pope's principal church in terms of use because most Papal liturgies and ceremonies take place there due to its size, proximity to the Papal residence, and location within the Vatican City proper. The "Chair of Saint Peter", or cathedra, an ancient chair sometimes presumed to have been used by St. Peter himself, but which was a gift from Charles the Bald and used by many popes, symbolizes the continuing line of apostolic succession from St. Peter to the reigning Pope. It occupies an elevated position in the apse of the Basilica, supported symbolically by the Doctors of the Church and enlightened symbolically by the Holy Spirit.[17]
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As one of the constituent structures of the historically and architecturally significant Vatican City, St. Peter's Basilica was inscribed as a UNESCO World Heritage Site in 1984 under criteria (i), (ii), (iv), and (vi).[18] With an exterior area of 21,095 square metres (227,060 sq ft),[19] an interior area of 15,160 square metres (163,200 sq ft),[20][21] St. Peter's Basilica is the largest Christian church building in the world by the two latter metrics and the second largest by the first as of 2016[update]. The top of its dome, at 448.1 feet (136.6 m), also places it as the second tallest building in Rome as of 2016[update].[22] The dome's soaring height placed it among the tallest buildings of the Old World, and it continues to hold the title of tallest dome in the world. Though the largest dome in the world by diameter at the time of its completion, it no longer holds this distinction.[23]
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After the crucifixion of Jesus, it is recorded in the Biblical book of the Acts of the Apostles that one of his twelve disciples, Simon known as Saint Peter, a fisherman from Galilee, took a leadership position among Jesus' followers and was of great importance in the founding of the Christian Church. The name Peter is "Petrus" in Latin and "Petros" in Greek, deriving from "petra" which means "stone" or "rock" in Greek, and is the literal translation of the Aramaic "Kepa", the name given to Simon by Jesus. (John 1:42, and see Matthew 16:18)
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Catholic tradition holds that Peter, after a ministry of thirty-four years, travelled to Rome and met his martyrdom there along with Paul on 13 October 64 AD during the reign of the Roman Emperor Nero. His execution was one of the many martyrdoms of Christians following the Great Fire of Rome. According to Origen, Peter was crucified head downwards, by his own request because he considered himself unworthy to die in the same manner as Jesus.[24] The crucifixion took place near an ancient Egyptian obelisk in the Circus of Nero.[25] The obelisk now stands in St. Peter's Square and is revered as a "witness" to Peter's death. It is one of several ancient Obelisks of Rome.[26]
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According to tradition, Peter's remains were buried just outside the Circus, on the Mons Vaticanus across the Via Cornelia from the Circus, less than 150 metres (490 ft) from his place of death. The Via Cornelia was a road which ran east-to-west along the north wall of the Circus on land now covered by the southern portions of the Basilica and St. Peter's Square. A shrine was built on this site some years later. Almost three hundred years later, Old St. Peter's Basilica was constructed over this site.[25]
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The area now covered by the Vatican City had been a cemetery for some years before the Circus of Nero was built. It was a burial ground for the numerous executions in the Circus and contained many Christian burials, because for many years after the burial of Saint Peter many Christians chose to be buried near Peter.
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In 1939, in the reign of Pope Pius XII, 10 years of archeological research began under the crypt of the basilica in an area inaccessible since the 9th century. The excavations revealed the remains of shrines of different periods at different levels, from Clement VIII (1594) to Callixtus II (1123) and Gregory I (590–604), built over an aedicula containing fragments of bones that were folded in a tissue with gold decorations, tinted with the precious murex purple. Although it could not be determined with certainty that the bones were those of Peter, the rare vestments suggested a burial of great importance. On 23 December 1950, in his pre-Christmas radio broadcast to the world, Pope Pius XII announced the discovery of Saint Peter's tomb.[27]
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Old St. Peter's Basilica was the 4th-century church begun by the Emperor Constantine the Great between 319 and 333 AD.[28] It was of typical basilical form, a wide nave and two aisles on each side and an apsidal end, with the addition of a transept or bema, giving the building the shape of a tau cross. It was over 103.6 metres (340 ft) long, and the entrance was preceded by a large colonnaded atrium. This church had been built over the small shrine believed to mark the burial place of St. Peter, though the tomb was "smashed" in 846 AD.[29] It contained a very large number of burials and memorials, including those of most of the popes from St. Peter to the 15th century. Like all of the earliest churches in Rome, both this church and its successor had the entrance to the east and the apse at the west end of the building.[30] Since the construction of the current basilica, the name Old St. Peter's Basilica has been used for its predecessor to distinguish the two buildings.[31]
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By the end of the 15th century, having been neglected during the period of the Avignon Papacy, the old basilica had fallen into disrepair. It appears that the first pope to consider rebuilding, or at least making radical changes was Pope Nicholas V (1447–55). He commissioned work on the old building from Leone Battista Alberti and Bernardo Rossellino and also had Rossellino design a plan for an entirely new basilica, or an extreme modification of the old. His reign was frustrated by political problems and when he died, little had been achieved.[25] He had, however, ordered the demolition of the Colosseum and by the time of his death, 2,522 cartloads of stone had been transported for use in the new building.[25][32] The foundations were completed for a new transept and choir to form a domed Latin cross with the preserved nave and side aisles of the old basilica. Some walls for the choir had also been built.[33]
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Pope Julius II planned far more for St Peter's than Nicholas V's program of repair or modification. Julius was at that time planning his own tomb, which was to be designed and adorned with sculpture by Michelangelo and placed within St Peter's.[34] In 1505 Julius made a decision to demolish the ancient basilica and replace it with a monumental structure to house his enormous tomb and "aggrandize himself in the popular imagination".[8] A competition was held, and a number of the designs have survived at the Uffizi Gallery. A succession of popes and architects followed in the next 120 years, their combined efforts resulting in the present building. The scheme begun by Julius II continued through the reigns of Leo X (1513–1521), Hadrian VI (1522–1523). Clement VII (1523–1534), Paul III (1534–1549), Julius III (1550–1555), Marcellus II (1555), Paul IV (1555–1559), Pius IV (1559–1565), Pius V (saint) (1565–1572), Gregory XIII (1572–1585), Sixtus V (1585–1590), Urban VII (1590), Gregory XIV (1590–1591), Innocent IX (1591), Clement VIII (1592–1605), Leo XI (1605), Paul V (1605–1621), Gregory XV (1621–1623), Urban VIII (1623–1644) and Innocent X (1644–1655).
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One method employed to finance the building of St. Peter's Basilica was the granting of indulgences in return for contributions. A major promoter of this method of fund-raising was Albrecht, Archbishop of Mainz and Magdeburg, who had to clear debts owed to the Roman Curia by contributing to the rebuilding program. To facilitate this, he appointed the German Dominican preacher Johann Tetzel, whose salesmanship provoked a scandal.[35]
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A German Augustinian priest, Martin Luther, wrote to Archbishop Albrecht arguing against this "selling of indulgences". He also included his "Disputation of Martin Luther on the Power and Efficacy of Indulgences", which came to be known as The 95 Theses.[36] This became a factor in starting the Reformation, the birth of Protestantism.
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Pope Julius' scheme for the grandest building in Christendom[8] was the subject of a competition for which a number of entries remain intact in the Uffizi Gallery, Florence. It was the design of Donato Bramante that was selected, and for which the foundation stone was laid in 1506. This plan was in the form of an enormous Greek Cross with a dome inspired by that of the huge circular Roman temple, the Pantheon.[8] The main difference between Bramante's design and that of the Pantheon is that where the dome of the Pantheon is supported by a continuous wall, that of the new basilica was to be supported only on four large piers. This feature was maintained in the ultimate design. Bramante's dome was to be surmounted by a lantern with its own small dome but otherwise very similar in form to the Early Renaissance lantern of Florence Cathedral designed for Brunelleschi's dome by Michelozzo.[37]
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Bramante had envisioned that the central dome would be surrounded by four lower domes at the diagonal axes. The equal chancel, nave and transept arms were each to be of two bays ending in an apse. At each corner of the building was to stand a tower, so that the overall plan was square, with the apses projecting at the cardinal points. Each apse had two large radial buttresses, which squared off its semi-circular shape.[38]
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When Pope Julius died in 1513, Bramante was replaced with Giuliano da Sangallo and Fra Giocondo, who both died in 1515 (Bramante himself having died the previous year). Raphael was confirmed as architect of St. Peter's on 1 August 1514.[39] The main change in his plan is the nave of five bays, with a row of complex apsidal chapels off the aisles on either side. Raphael's plan for the chancel and transepts made the squareness of the exterior walls more definite by reducing the size of the towers, and the semi-circular apses more clearly defined by encircling each with an ambulatory.[40]
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In 1520 Raphael also died, aged 37, and his successor Baldassare Peruzzi maintained changes that Raphael had proposed to the internal arrangement of the three main apses, but otherwise reverted to the Greek Cross plan and other features of Bramante.[41] This plan did not go ahead because of various difficulties of both Church and state. In 1527 Rome was sacked and plundered by Emperor Charles V. Peruzzi died in 1536 without his plan being realized.[8]
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At this point Antonio da Sangallo the Younger submitted a plan which combines features of Peruzzi, Raphael and Bramante in its design and extends the building into a short nave with a wide façade and portico of dynamic projection. His proposal for the dome was much more elaborate of both structure and decoration than that of Bramante and included ribs on the exterior. Like Bramante, Sangallo proposed that the dome be surmounted by a lantern which he redesigned to a larger and much more elaborate form.[42] Sangallo's main practical contribution was to strengthen Bramante's piers which had begun to crack.[25]
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On 1 January 1547 in the reign of Pope Paul III, Michelangelo, then in his seventies, succeeded Sangallo the Younger as "Capomaestro", the superintendent of the building program at St Peter's.[43] He is to be regarded as the principal designer of a large part of the building as it stands today, and as bringing the construction to a point where it could be carried through. He did not take on the job with pleasure; it was forced upon him by Pope Paul, frustrated at the death of his chosen candidate, Giulio Romano and the refusal of Jacopo Sansovino to leave Venice. Michelangelo wrote "I undertake this only for the love of God and in honour of the Apostle." He insisted that he should be given a free hand to achieve the ultimate aim by whatever means he saw fit.[25]
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Michelangelo took over a building site at which four piers, enormous beyond any constructed since ancient Roman times, were rising behind the remaining nave of the old basilica. He also inherited the numerous schemes designed and redesigned by some of the greatest architectural and engineering minds of the 16th century. There were certain common elements in these schemes. They all called for a dome to equal that engineered by Brunelleschi a century earlier and which has since dominated the skyline of Renaissance Florence, and they all called for a strongly symmetrical plan of either Greek Cross form, like the iconic St. Mark's Basilica in Venice, or of a Latin Cross with the transepts of identical form to the chancel, as at Florence Cathedral.
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Even though the work had progressed only a little in 40 years, Michelangelo did not simply dismiss the ideas of the previous architects. He drew on them in developing a grand vision. Above all, Michelangelo recognized the essential quality of Bramante's original design. He reverted to the Greek Cross and, as Helen Gardner expresses it: "Without destroying the centralising features of Bramante's plan, Michelangelo, with a few strokes of the pen converted its snowflake complexity into massive, cohesive unity."[44]
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As it stands today, St. Peter's has been extended with a nave by Carlo Maderno. It is the chancel end (the ecclesiastical "Eastern end") with its huge centrally placed dome that is the work of Michelangelo. Because of its location within the Vatican State and because the projection of the nave screens the dome from sight when the building is approached from the square in front of it, the work of Michelangelo is best appreciated from a distance. What becomes apparent is that the architect has greatly reduced the clearly defined geometric forms of Bramante's plan of a square with square projections, and also of Raphael's plan of a square with semi-circular projections.[45] Michelangelo has blurred the definition of the geometry by making the external masonry of massive proportions and filling in every corner with a small vestry or stairwell. The effect created is of a continuous wall-surface that is folded or fractured at different angles, but lacks the right-angles which usually define change of direction at the corners of a building. This exterior is surrounded by a giant order of Corinthian pilasters all set at slightly different angles to each other, in keeping with the ever-changing angles of the wall's surface. Above them the huge cornice ripples in a continuous band, giving the appearance of keeping the whole building in a state of compression.[46]
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The dome of St. Peter's rises to a total height of 136.57 metres (448.1 ft) from the floor of the basilica to the top of the external cross. It is the tallest dome in the world.[47] Its internal diameter is 41.47 metres (136.1 ft), slightly smaller than two of the three other huge domes that preceded it, those of the Pantheon of Ancient Rome, 43.3 metres (142 ft), and Florence Cathedral of the Early Renaissance, 44 metres (144 ft). It has a greater diameter by approximately 30 feet (9.1 m) than Constantinople's Hagia Sophia church, completed in 537. It was to the domes of the Pantheon and Florence duomo that the architects of St. Peter's looked for solutions as to how to go about building what was conceived, from the outset, as the greatest dome of Christendom.
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The dome of the Pantheon stands on a circular wall with no entrances or windows except a single door. The whole building is as high as it is wide. Its dome is constructed in a single shell of concrete, made light by the inclusion of a large amount of the volcanic stones tuff and pumice. The inner surface of the dome is deeply coffered which has the effect of creating both vertical and horizontal ribs, while lightening the overall load. At the summit is an ocular opening 8 metres (26 ft) across which provides light to the interior.[8]
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Bramante's plan for the dome of St. Peter's (1506) follows that of the Pantheon very closely, and like that of the Pantheon, was designed to be constructed in Tufa Concrete for which he had rediscovered a formula. With the exception of the lantern that surmounts it, the profile is very similar, except that in this case the supporting wall becomes a drum raised high above ground level on four massive piers. The solid wall, as used at the Pantheon, is lightened at St. Peter's by Bramante piercing it with windows and encircling it with a peristyle.
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In the case of Florence Cathedral, the desired visual appearance of the pointed dome existed for many years before Brunelleschi made its construction feasible.[48] Its double-shell construction of bricks locked together in herringbone pattern (re-introduced from Byzantine architecture), and the gentle upward slope of its eight stone ribs made it possible for the construction to take place without the massive wooden formwork necessary to construct hemispherical arches. While its appearance, with the exception of the details of the lantern, is entirely Gothic, its engineering was highly innovative, and the product of a mind that had studied the huge vaults and remaining dome of Ancient Rome.[37]
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Sangallo's plan (1513), of which a large wooden model still exists, looks to both these predecessors. He realized the value of both the coffering at the Pantheon and the outer stone ribs at Florence Cathedral. He strengthened and extended the peristyle of Bramante into a series of arched and ordered openings around the base, with a second such arcade set back in a tier above the first. In his hands, the rather delicate form of the lantern, based closely on that in Florence, became a massive structure, surrounded by a projecting base, a peristyle and surmounted by a spire of conic form.[42] According to James Lees-Milne the design was "too eclectic, too pernickety and too tasteless to have been a success".[25]
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Michelangelo redesigned the dome in 1547, taking into account all that had gone before. His dome, like that of Florence, is constructed of two shells of brick, the outer one having 16 stone ribs, twice the number at Florence but far fewer than in Sangallo's design. As with the designs of Bramante and Sangallo, the dome is raised from the piers on a drum. The encircling peristyle of Bramante and the arcade of Sangallo are reduced to 16 pairs of Corinthian columns, each of 15 metres (49 ft) high which stand proud of the building, connected by an arch. Visually they appear to buttress each of the ribs, but structurally they are probably quite redundant. The reason for this is that the dome is ovoid in shape, rising steeply as does the dome of Florence Cathedral, and therefore exerting less outward thrust than does a hemispherical dome, such as that of the Pantheon, which, although it is not buttressed, is countered by the downward thrust of heavy masonry which extends above the circling wall.[8][25]
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The ovoid profile of the dome has been the subject of much speculation and scholarship over the past century. Michelangelo died in 1564, leaving the drum of the dome complete, and Bramante's piers much bulkier than originally designed, each 18 metres (59 ft) across. Following his death, the work continued under his assistant Jacopo Barozzi da Vignola with Giorgio Vasari appointed by Pope Pius V as a watchdog to make sure that Michelangelo's plans were carried out exactly. Despite Vignola's knowledge of Michelangelo's intentions, little happened in this period. In 1585 the energetic Pope Sixtus appointed Giacomo della Porta who was to be assisted by Domenico Fontana. The five-year reign of Sixtus was to see the building advance at a great rate.[25]
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Michelangelo left a few drawings, including an early drawing of the dome, and some details. There were also detailed engravings published in 1569 by Stefan du Pérac who claimed that they were the master's final solution. Michelangelo, like Sangallo before him, also left a large wooden model. Giacomo della Porta subsequently altered this model in several ways. The major change restored an earlier design, in which the outer dome appears to rise above, rather than rest directly on the base.[50] Most of the other changes were of a cosmetic nature, such as the adding of lion's masks over the swags on the drum in honour of Pope Sixtus and adding a circlet of finials around the spire at the top of the lantern, as proposed by Sangallo.[25]
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A drawing by Michelangelo indicates that his early intentions were towards an ovoid dome, rather than a hemispherical one.[44] In an engraving in Galasso Alghisi' treatise (1563), the dome may be represented as ovoid, but the perspective is ambiguous.[51] Stefan du Pérac's engraving (1569) shows a hemispherical dome, but this was perhaps an inaccuracy of the engraver. The profile of the wooden model is more ovoid than that of the engravings, but less so than the finished product. It has been suggested that Michelangelo on his death bed reverted to the more pointed shape. However, Lees-Milne cites Giacomo della Porta as taking full responsibility for the change and as indicating to Pope Sixtus that Michelangelo was lacking in the scientific understanding of which he himself was capable.[25]
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Helen Gardner suggests that Michelangelo made the change to the hemispherical dome of lower profile in order to establish a balance between the dynamic vertical elements of the encircling giant order of pilasters and a more static and reposeful dome. Gardner also comments, "The sculpturing of architecture [by Michelangelo] ... here extends itself up from the ground through the attic stories and moves on into the drum and dome, the whole building being pulled together into a unity from base to summit."[44]
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It is this sense of the building being sculptured, unified and "pulled together" by the encircling band of the deep cornice that led Eneide Mignacca to conclude that the ovoid profile, seen now in the end product, was an essential part of Michelangelo's first (and last) concept. The sculptor/architect has, figuratively speaking, taken all the previous designs in hand and compressed their contours as if the building were a lump of clay. The dome must appear to thrust upwards because of the apparent pressure created by flattening the building's angles and restraining its projections.[46] If this explanation is the correct one, then the profile of the dome is not merely a structural solution, as perceived by Giacomo della Porta; it is part of the integrated design solution that is about visual tension and compression. In one sense, Michelangelo's dome may appear to look backward to the Gothic profile of Florence Cathedral and ignore the Classicism of the Renaissance, but on the other hand, perhaps more than any other building of the 16th century, it prefigures the architecture of the Baroque.[46]
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Giacomo della Porta and Domenico Fontana brought the dome to completion in 1590, the last year of the reign of Sixtus V. His successor, Gregory XIV, saw Fontana complete the lantern and had an inscription to the honour of Sixtus V placed around its inner opening. The next pope, Clement VIII, had the cross raised into place, an event which took all day, and was accompanied by the ringing of the bells of all the city's churches. In the arms of the cross are set two lead caskets, one containing a fragment of the True Cross and a relic of St. Andrew and the other containing medallions of the Holy Lamb.[25]
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In the mid-18th century, cracks appeared in the dome, so four iron chains were installed between the two shells to bind it, like the rings that keep a barrel from bursting. As many as ten chains have been installed at various times, the earliest possibly planned by Michelangelo himself as a precaution, as Brunelleschi did at Florence Cathedral.
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Around the inside of the dome is written, in letters 1.4 metres (4.6 ft) high:
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TV ES PETRVS ET SVPER HANC PETRAM AEDIFICABO ECCLESIAM MEAM. TIBI DABO CLAVES REGNI CAELORVM("... you are Peter, and on this rock I will build my church. ... I will give you the keys of the kingdom of heaven ..." Vulgate, Matthew 16:18–19.)
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Beneath the lantern is the inscription:
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S. PETRI GLORIAE SIXTVS PP. V. A. M. D. XC. PONTIF. V.(To the glory of St Peter; Sixtus V, pope, in the year 1590, the fifth of his pontificate.)
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On 7 December 2007, a fragment of a red chalk drawing of a section of the dome of the basilica, almost certainly by the hand of Michelangelo, was discovered in the Vatican archives.[52] The drawing shows a small precisely drafted section of the plan of the entablature above two of the radial columns of the cupola drum. Michelangelo is known to have destroyed thousands of his drawings before his death.[53] The rare survival of this example is probably due to its fragmentary state and the fact that detailed mathematical calculations had been made over the top of the drawing.[52]
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On 18 February 1606, under Pope Paul V, the dismantling of the remaining parts of the Constantinian basilica began.[25] The marble cross that had been set at the top of the pediment by Pope Sylvester and Constantine the Great was lowered to the ground. The timbers were salvaged for the roof of the Borghese Palace and two rare black marble columns, the largest of their kind, were carefully stored and later used in the narthex. The tombs of various popes were opened, treasures removed and plans made for re-interment in the new basilica.[25]
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The Pope had appointed Carlo Maderno in 1602. He was a nephew of Domenico Fontana and had demonstrated himself as a dynamic architect. Maderno's idea was to ring Michelangelo's building with chapels, but the Pope was hesitant about deviating from the master's plan, even though he had been dead for forty years. The Fabbrica or building committee, a group drawn from various nationalities and generally despised by the Curia who viewed the basilica as belonging to Rome rather than Christendom, were in a quandary as to how the building should proceed. One of the matters that influenced their thinking was the Counter-Reformation which increasingly associated a Greek Cross plan with paganism and saw the Latin Cross as truly symbolic of Christianity.[25] The central plan also did not have a "dominant orientation toward the east."[54]
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Another influence on the thinking of both the Fabbrica and the Curia was a certain guilt at the demolition of the ancient building. The ground on which it and its various associated chapels, vestries and sacristies had stood for so long was hallowed. The only solution was to build a nave that encompassed the whole space. In 1607 a committee of ten architects was called together, and a decision was made to extend Michelangelo's building into a nave. Maderno's plans for both the nave and the facade were accepted. The building began on 7 May 1607, and proceeded at a great rate, with an army of 700 labourers being employed. The following year, the façade was begun, in December 1614 the final touches were added to the stucco decoration of the vault and early in 1615 the partition wall between the two sections was pulled down. All the rubble was carted away, and the nave was ready for use by Palm Sunday.[25]
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The facade designed by Maderno, is 114.69 metres (376.3 ft) wide and 45.55 metres (149.4 ft) high and is built of travertine stone, with a giant order of Corinthian columns and a central pediment rising in front of a tall attic surmounted by thirteen statues: Christ flanked by eleven of the Apostles (except Saint Peter, whose statue is left of the stairs) and John the Baptist.
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[55]
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The inscription below the cornice on the 1 metre (3.3 ft) tall frieze reads:
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IN HONOREM PRINCIPIS APOST PAVLVS V BVRGHESIVS ROMANVS PONT MAX AN MDCXII PONT VII(In honour of the Prince of Apostles, Paul V Borghese, a Roman, Supreme Pontiff, in the year 1612, the seventh of his pontificate)
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(Paul V (Camillo Borghese), born in Rome but of a Sienese family, liked to emphasize his "Romanness.")
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The facade is often cited as the least satisfactory part of the design of St. Peter's. The reasons for this, according to James Lees-Milne, are that it was not given enough consideration by the Pope and committee because of the desire to get the building completed quickly, coupled with the fact that Maderno was hesitant to deviate from the pattern set by Michelangelo at the other end of the building. Lees-Milne describes the problems of the façade as being too broad for its height, too cramped in its details and too heavy in the attic story. The breadth is caused by modifying the plan to have towers on either side. These towers were never executed above the line of the facade because it was discovered that the ground was not sufficiently stable to bear the weight. One effect of the facade and lengthened nave is to screen the view of the dome, so that the building, from the front, has no vertical feature, except from a distance.[25]
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Behind the façade of St. Peter's stretches a long portico or "narthex" such as was occasionally found in Italian churches. This is the part of Maderno's design with which he was most satisfied. Its long barrel vault is decorated with ornate stucco and gilt, and successfully illuminated by small windows between pendentives, while the ornate marble floor is beamed with light reflected in from the piazza. At each end of the narthex is a theatrical space framed by ionic columns and within each is set a statue, an equestrian figure of Charlemagne (18th century) by Cornacchini in the south end and The Vision of Constantine (1670) by Bernini in the north end.
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Five portals, of which three are framed by huge salvaged antique columns, lead into the basilica. The central portal has a bronze door created by Antonio Averulino c. 1440 for the old basilica[56] and somewhat enlarged to fit the new space.
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To the single bay of Michelangelo's Greek Cross, Maderno added a further three bays. He made the dimensions slightly different from Michelangelo's bay, thus defining where the two architectural works meet. Maderno also tilted the axis of the nave slightly. This was not by accident, as suggested by his critics. An ancient Egyptian obelisk had been erected in the square outside, but had not been quite aligned with Michelangelo's building, so Maderno compensated, in order that it should, at least, align with the Basilica's façade.[25]
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The nave has huge paired pilasters, in keeping with Michelangelo's work. The size of the interior is so "stupendously large" that it is hard to get a sense of scale within the building.[25][57] The four cherubs who flutter against the first piers of the nave, carrying between them two holy water basins, appear of quite normal cherubic size, until approached. Then it becomes apparent that each one is over 2 metres high and that real children cannot reach the basins unless they scramble up the marble draperies. The aisles each have two smaller chapels and a larger rectangular chapel, the Chapel of the Sacrament and the Choir Chapel. These are lavishly decorated with marble, stucco, gilt, sculpture and mosaic. Remarkably, all of the large altarpieces, with the exception of the Holy Trinity by Pietro da Cortona in the Blessed Sacrament Chapel, have been reproduced in mosaic. Two precious paintings from the old basilica, Our Lady of Perpetual Help and Our Lady of the Column are still being used as altarpieces.
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Maderno's last work at St. Peter's was to design a crypt-like space or "Confessio" under the dome, where the cardinals and other privileged persons could descend in order to be nearer to the burial place of the apostle. Its marble steps are remnants of the old basilica and around its balustrade are 95 bronze lamps.
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The design of St. Peter's Basilica, and in particular its dome, has greatly influenced church architecture in Western Christendom. Within Rome, the huge domed church of Sant'Andrea della Valle was designed by Giacomo della Porta before the completion of St Peter's Basilica, and subsequently worked on by Carlo Maderno. This was followed by the domes of San Carlo ai Catinari, Sant'Agnese in Agone, and many others. Christopher Wren's dome at St Paul's Cathedral (London, England), the domes of Karlskirche (Vienna, Austria), St. Nicholas Church (Prague, Czech Republic), and the Pantheon (Paris, France) all pay homage to St Peter's Basilica.
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The 19th and early-20th-century architectural revivals brought about the building of a great number of churches that imitate elements of St Peter's to a greater or lesser degree, including St. Mary of the Angels in Chicago, St. Josaphat's Basilica in Milwaukee, Immaculate Heart of Mary in Pittsburgh and Mary, Queen of the World Cathedral in Montreal, which replicates many aspects of St Peter's on a smaller scale. Post-Modernism has seen free adaptations of St Peter's in the Basilica of Our Lady of Licheń, and the Basilica of Our Lady of Peace of Yamoussoukro.
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As a young boy Gian Lorenzo Bernini (1598–1680) visited St. Peter's with the painter Annibale Carracci and stated his wish to build "a mighty throne for the apostle". His wish came true. As a young man, in 1626, he received the patronage of Pope Urban VIII and worked on the embellishment of the Basilica for 50 years. Appointed as Maderno's successor in 1629, he was to become regarded as the greatest architect and sculptor of the Baroque period. Bernini's works at St. Peter's include the baldachin (baldaquin, from Italian: baldacchino), the Chapel of the Sacrament, the plan for the niches and loggias in the piers of the dome and the chair of St. Peter.[25][44]
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Bernini's first work at St. Peter's was to design the baldacchino, a pavilion-like structure 28.74 metres (94.3 ft) tall and claimed to be the largest piece of bronze in the world, which stands beneath the dome and above the altar. Its design is based on the ciborium, of which there are many in the churches of Rome, serving to create a sort of holy space above and around the table on which the Sacrament is laid for the Eucharist and emphasizing the significance of this ritual. These ciboria are generally of white marble, with inlaid coloured stone. Bernini's concept was for something very different. He took his inspiration in part from the baldachin or canopy carried above the head of the pope in processions, and in part from eight ancient columns that had formed part of a screen in the old basilica. Their twisted barley-sugar shape had a special significance as they were modelled on those of the Temple of Jerusalem and donated by the Emperor Constantine. Based on these columns, Bernini created four huge columns of bronze, twisted and decorated with laurel leaves and bees, which were the emblem of Pope Urban.
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The baldacchino is surmounted not with an architectural pediment, like most baldacchini, but with curved Baroque brackets supporting a draped canopy, like the brocade canopies carried in processions above precious iconic images. In this case, the draped canopy is of bronze, and all the details, including the olive leaves, bees, and the portrait heads of Urban's niece in childbirth and her newborn son, are picked out in gold leaf. The baldacchino stands as a vast free-standing sculptural object, central to and framed by the largest space within the building. It is so large that the visual effect is to create a link between the enormous dome which appears to float above it, and the congregation at floor level of the basilica. It is penetrated visually from every direction, and is visually linked to the Cathedra Petri in the apse behind it and to the four piers containing large statues that are at each diagonal.[25][44]
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As part of the scheme for the central space of the church, Bernini had the huge piers, begun by Bramante and completed by Michelangelo, hollowed out into niches, and had staircases made inside them, leading to four balconies. There was much dismay from those who thought that the dome might fall, but it did not. On the balconies Bernini created showcases, framed by the eight ancient twisted columns, to display the four most precious relics of the basilica: the spear of Longinus, said to have pierced the side of Christ, the veil of Veronica, with the miraculous image of the face of Christ, a fragment of the True Cross discovered in Jerusalem by Constantine's mother, Helena, and a relic of Saint Andrew, the brother of Saint Peter. In each of the niches that surround the central space of the basilica was placed a huge statue of the saint associated with the relic above. Only Saint Longinus is the work of Bernini.[25] (See below)
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Urban had long been a critic of Bernini's predecessor, Carlo Maderno. His disapproval of the architect's work stemmed largely from the Maderno's design for the longitudinal nave of St. Peters, which was widely condemned for obscuring Michelangelo's dome. When the Pope gave the commission to Bernini he therefore requested that a new design for the facade's bell towers to be submitted for consideration. Baldinucci describes Bernini's tower as consisting of "two orders of columns and pilasters, the first order being Corinthian" and "a third or attic story formed of pilasters and two columns on either side of the open archway in the center".
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Urban desired the towers to be completed by a very specific date: 29 June 1641, the feast day dedicated to Saints Peter and Paul. To this end an order was issued which stated that "all work should take a second seat to that of the campanile." The south tower was completed on time even in spite of these issues, but records show that in the wake of the unveiling the Pope was not content with what he saw and he ordered the top level of Bernini's tower removed so that the structure could be made even grander. The tower continued to grow, and as the construction began to settle, the first cracks started to appear followed by Urban's infamous public admonishment of his architect.
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In 1642 all work on both towers came to a halt. Bernini had to pay the cost for the demolition; eventually the idea of completing the bell towers was abandoned.
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Bernini then turned his attention to another precious relic, the so-called Cathedra Petri or "throne of St. Peter" a chair which was often claimed to have been used by the apostle, but appears to date from the 12th century. As the chair itself was fast deteriorating and was no longer serviceable, Pope Alexander VII determined to enshrine it in suitable splendor as the object upon which the line of successors to Peter was based. Bernini created a large bronze throne in which it was housed, raised high on four looping supports held effortlessly by massive bronze statues of four Doctors of the Church, Saints Ambrose and Augustine representing the Latin Church and Athanasius and John Chrysostom, the Greek Church. The four figures are dynamic with sweeping robes and expressions of adoration and ecstasy. Behind and above the cathedra, a blaze of light comes in through a window of yellow alabaster, illuminating, at its centre, the Dove of the Holy Spirit. The elderly painter, Andrea Sacchi, had urged Bernini to make the figures large, so that they would be seen well from the central portal of the nave. The chair was enshrined in its new home with great celebration of 16 January 1666.[25][44]
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Bernini's final work for St. Peter's, undertaken in 1676, was the decoration of the Chapel of the Sacrament.[58] To hold the sacramental Host, he designed a miniature version in gilt bronze of Bramante's Tempietto, the little chapel that marks the place of the death of St. Peter. On either side is an angel, one gazing in rapt adoration and the other looking towards the viewer in welcome. Bernini died in 1680 in his 82nd year.[25]
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To the east of the basilica is the Piazza di San Pietro, (St. Peter's Square). The present arrangement, constructed between 1656 and 1667, is the Baroque inspiration of Bernini who inherited a location already occupied by an Egyptian obelisk which was centrally placed, (with some contrivance) to Maderno's facade.[59] The obelisk, known as "The Witness", at 25.31 metres (83.0 ft) and a total height, including base and the cross on top, of 40 metres (130 ft), is the second largest standing obelisk, and the only one to remain standing since its removal from Egypt and re-erection at the Circus of Nero in 37 AD, where it is thought to have stood witness to the crucifixion of Saint Peter.[60] Its removal to its present location by order of Pope Sixtus V and engineered by Domenico Fontana on 28 September 1586, was an operation fraught with difficulties and nearly ending in disaster when the ropes holding the obelisk began to smoke from the friction. Fortunately this problem was noticed by Benedetto Bresca, a sailor of Sanremo, and for his swift intervention, his town was granted the privilege of providing the palms that are used at the basilica each Palm Sunday.[25]
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The other object in the old square with which Bernini had to contend was a large fountain designed by Maderno in 1613 and set to one side of the obelisk, making a line parallel with the facade. Bernini's plan uses this horizontal axis as a major feature of his unique, spatially dynamic and highly symbolic design. The most obvious solutions were either a rectangular piazza of vast proportions so that the obelisk stood centrally and the fountain (and a matching companion) could be included, or a trapezoid piazza which fanned out from the facade of the basilica like that in front of the Palazzo Pubblico in Siena. The problems of the square plan are that the necessary width to include the fountain would entail the demolition of numerous buildings, including some of the Vatican, and would minimize the effect of the facade. The trapezoid plan, on the other hand, would maximize the apparent width of the facade, which was already perceived as a fault of the design.[44]
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Bernini's ingenious solution was to create a piazza in two sections. That part which is nearest the basilica is trapezoid, but rather than fanning out from the facade, it narrows. This gives the effect of countering the visual perspective. It means that from the second part of the piazza, the building looks nearer than it is, the breadth of the facade is minimized and its height appears greater in proportion to its width. The second section of the piazza is a huge elliptical circus which gently slopes downwards to the obelisk at its centre. The two distinct areas are framed by a colonnade formed by doubled pairs of columns supporting an entablature of the simple Tuscan Order.
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The part of the colonnade that is around the ellipse does not entirely encircle it, but reaches out in two arcs, symbolic of the arms of "the Catholic Church reaching out to welcome its communicants".[44] The obelisk and Maderno's fountain mark the widest axis of the ellipse. Bernini balanced the scheme with another fountain in 1675. The approach to the square used to be through a jumble of old buildings, which added an element of surprise to the vista that opened up upon passing through the colonnade. Nowadays a long wide street, the Via della Conciliazione, built by Mussolini after the conclusion of the Lateran Treaties, leads from the River Tiber to the piazza and gives distant views of St. Peter's as the visitor approaches, with the basilica acting as a terminating vista.[25]
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Bernini's transformation of the site is entirely Baroque in concept. Where Bramante and Michelangelo conceived a building that stood in "self-sufficient isolation", Bernini made the whole complex "expansively relate to its environment".[44] Banister Fletcher says "No other city has afforded such a wide-swept approach to its cathedral church, no other architect could have conceived a design of greater nobility ... (it is) the greatest of all atriums before the greatest of all churches of Christendom."[8]
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The top of the facade of St. Peter's Basilica has two clocks and several sculptures. The clocks were created to replace Bernini's bell towers which had to be torn down due to insufficient support. The left clock shows Rome time, the one of the right shows European mean time. The statues are Christ the Redeemer, St. John the Baptist and 11 Apostles. From the left: St. Thadeus, St. Matthew, St. Philip, St. Thomas, St. James the Greater, St. John the Baptist, The Redeemer, St. Andrew, St. John the Evangelist, St. James the Lesser, St. Bartholomew, St. Simeon, and St. Matthias. Above the Roman clock is the coat of arms for the city-state of Vatican City since 1931 held by two angels. The European mean time clock only shows an hour hand and it is about half an hour behind the rome time. The European mean time also be an attempt to keep the Devil guessing about "the day and the hour."
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The Basilica has 6 bells, placed in the room under the Roman clock, only 3 of them are visible from ground level while the rest are hidden behind the bourdon. They range from the smallest which is 260 kg to the massive bourdon that approximately weighs 9 tonnes. From 1931, the bells are operated electrically, thus permitting even the largest bell to be tolled from a distance. The oldest bell Rota dates from 1288 and the bourdon called Campanone is rung at Christmas and Easter, on the Solemnity of Sts. Peter and Paul, and every time the Pope imparts the "Urbi et Orbi" blessing to the city and to the world. Campanone also announces the election of a new pope.
|
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There are over 100 tombs within St. Peter's Basilica (extant to various extents), many located beneath the Basilica. These include 91 popes, Saint Ignatius of Antioch, Holy Roman Emperor Otto II, and the composer Giovanni Pierluigi da Palestrina. Exiled Catholic British royalty James Francis Edward Stuart and his two sons, Charles Edward Stuart and Henry Benedict Stuart, Cardinal Bishop of Frascati, are buried here, having been granted asylum by Pope Clement XI. Also buried here are Maria Clementina Sobieska, wife of James Francis Edward Stuart, Queen Christina of Sweden, who abdicated her throne in order to convert to Catholicism, and Countess Matilda of Tuscany, supporter of the Papacy during the Investiture Controversy. The most recent interment was Pope John Paul II, on 8 April 2005. Beneath, near the crypt, is the recently discovered vaulted 4th-century "Tomb of the Julii". (See below for some descriptions of tombs).
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|
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Recently installed commemorative plaques read above the door as follows:
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|
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PAVLVS VI PONT MAX HVIVS PATRIARCALIS VATICANAE BASILICAE PORTAM SANCTAM APERVIT ET CLAVSIT ANNO IVBILAEI MCMLXXVPaul VI, Pontifex Maximus, opened and closed the holy door of this patriarchal Vatican basilica in the jubilee year of 1975.
|
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|
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IOANNES PAVLVS II P.M. PORTAM SANCTAM ANNO IVBILAEI MCMLXXVI A PAVLO PP VI RESERVATAM ET CLAVSAM APERVIT ET CLAVSIT ANNO IVB HVMANE REDEMP MCMLXXXIII–MCMLXXXIVJohn Paul II, Pontifex Maximus, opened and closed again the holy door closed and set apart by Pope Paul VI in 1976 in the jubilee year of human redemption 1983–1984.
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|
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+
IOANNES PAVLVS II P.M. ITERVM PORTAM SANCTAM APERVIT ET CLAVSIT ANNO MAGNI IVBILAEI AB INCARNATIONE DOMINI MM–MMIJohn Paul II, Pontifex Maximus, again opened and closed the holy door in the year of the great jubilee, from the incarnation of the Lord 2000–2001.
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|
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FRANCISCVS PP. PORTAM SANCTAM ANNO MAGNI IVB MM–MMI A IOANNE PAVLO PP. II RESERVATAM ET CLAVSAM APERVIT ET CLAVSIT ANNO IVB MISERICORDIAE MMXV–MMXVIPope Francis opened and closed again the holy door, closed and set apart by Pope John Paul II in the year of the great jubilee 2000–2001, in the jubilee year of Mercy 2015–2016.
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Older commemorative plaques are removed to make way for the new plaque when the holy door is opened and sealed.
|
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|
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Saint Helenaby Andrea Bolgi
|
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|
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Saint Longinusby Bernini
|
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|
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+
Saint Andrewby Francois Duquesnoy
|
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|
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Saint Veronicaby Francesco Mochi
|
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|
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The Holy Door is opened only for great celebrations.
|
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|
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The tomb of Alexander VII, by Gian Lorenzo Bernini, 1671–1678.[62]
|
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|
196 |
+
The bronze statue of Saint Peter holding the keys of heaven, attributed to Arnolfo di Cambio.
|
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|
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The Pietà by Michelangelo, 1498–99, is in the north aisle.
|
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List of archpriests of the Vatican Basilica:[63]
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Cryptodira
|
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Pleurodira
|
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†Paracryptodira
|
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Turtles are reptiles of the order Testudines characterized by a special bony or cartilaginous shell developed from their ribs and acting as a shield.[3] "Turtle" may refer to the order as a whole (American English) or to fresh-water and sea-dwelling testudines (British English).[4] The order Testudines includes both extant (living) and extinct species. The earliest known members of this group date from the Middle Jurassic,[1] making turtles one of the oldest reptile groups and a more ancient group than snakes or crocodilians. Of the 356 known species[2] alive today, some are highly endangered.[2]
|
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Turtles are ectotherms—animals commonly called cold-blooded—meaning that their internal temperature varies according to the ambient environment. However, because of their high metabolic rate, leatherback sea turtles have a body temperature that is noticeably higher than that of the surrounding water. Turtles are classified as amniotes, along with other reptiles, birds, and mammals. Like other amniotes, turtles breathe air and do not lay eggs underwater, although many species live in or around water.
|
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Differences exist in usage of the common terms turtle, tortoise, and terrapin, depending on the variety of English being used.[5] These terms are common names and do not reflect precise biological or taxonomic distinctions.[6]
|
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|
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Turtle may either refer to the order as a whole, or to particular turtles that make up a form taxon that is not monophyletic, or may be limited to only aquatic species. Tortoise usually refers to any land-dwelling, non-swimming chelonian.[7] Terrapin is used to describe several species of small, edible, hard-shell turtles, typically those found in brackish waters.
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In North America, all chelonians are commonly called turtles. Tortoise is used only in reference to fully terrestrial turtles or, more narrowly, only those members of Testudinidae, the family of modern land tortoises.[8][7] Terrapin may refer to small semi-aquatic turtles that live in fresh and brackish water, in particular the diamondback terrapin (Malaclemys terrapin).[9][10][11][12] Although the members of the genus Terrapene dwell mostly on land, they are referred to as box turtles rather than tortoises.[6] The American Society of Ichthyologists and Herpetologists uses "turtle" to describe all species of the order Testudines, regardless of whether they are land-dwelling or sea-dwelling, and uses "tortoise" as a more specific term for slow-moving terrestrial species.[5]
|
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|
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In the United Kingdom, the word turtle is used for water-dwelling species, including ones known in the US as terrapins, but not for terrestrial species, which are known only as tortoises.
|
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|
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+
The word chelonian is popular among veterinarians, scientists, and conservationists working with these animals as a catch-all name for any member of the superorder Chelonia, which includes all turtles living and extinct, as well as their immediate ancestors. Chelonia is based on the Greek word for turtles, χελώνη chelone; Greek χέλυς chelys "tortoise" is also used in the formation of scientific names of chelonians.[13] Testudines, on the other hand, is based on the Latin word for tortoise, testudo.[14] Terrapin comes from an Algonquian word for turtle.[8][15]
|
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|
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Some languages do not have this distinction, as all of these are referred to by the same name. For example, in Spanish, the word tortuga is used for turtles, tortoises, and terrapins. A sea-dwelling turtle is tortuga marina, a freshwater species tortuga de río, and a tortoise tortuga terrestre.[16]
|
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|
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The largest living chelonian is the leatherback sea turtle (Dermochelys coriacea), which reaches a shell length of 200 cm (6.6 ft) and can reach a weight of over 900 kg (2,000 lb). Freshwater turtles are generally smaller, but with the largest species, the Asian softshell turtle Pelochelys cantorii, a few individuals have been reported up to 200 cm (6.6 ft). This dwarfs even the better-known alligator snapping turtle, the largest chelonian in North America, which attains a shell length of up to 80 cm (2.6 ft) and weighs as much as 113.4 kg (250 lb).[17]
|
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Giant tortoises of the genera Geochelone, Meiolania, and others were relatively widely distributed around the world into prehistoric times, and are known to have existed in North and South America, Australia, and Africa. They became extinct at the same time as the appearance of man, and it is assumed humans hunted them for food. The only surviving giant tortoises are on the Seychelles and Galápagos Islands and can grow to over 130 cm (51 in) in length, and weigh about 300 kg (660 lb).[18]
|
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+
The largest ever chelonian was Archelon ischyros, a Late Cretaceous sea turtle known to have been up to 4.6 m (15 ft) long.[19]
|
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+
|
29 |
+
The smallest turtle is the speckled padloper tortoise of South Africa. It measures no more than 8 cm (3.1 in) in length and weighs about 140 g (4.9 oz). Two other species of small turtles are the American mud turtles and musk turtles that live in an area that ranges from Canada to South America. The shell length of many species in this group is less than 13 cm (5.1 in) in length.
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Turtles are divided into two groups, according to how they retract their necks into their shells (something the ancestral Proganochelys could not do). The mechanism of neck retraction differs phylogenetically: the suborder Pleurodira retracts laterally to the side, anterior to shoulder girdles, while the suborder Cryptodira retracts straight back, between shoulder girdles.[20] These motions are largely due to the morphology and arrangement of cervical vertebrae. Of all recent turtles, the cervical column consists of nine joints and eight vertebrae, which are individually independent.[21] Since these vertebrae are not fused and are rounded, the neck is more flexible, being able to bend in the backwards and sideways directions.[20] The primary function and evolutionary implication of neck retraction is thought to be for feeding rather than protection.[22] Neck retraction and reciprocal extension allows the turtle to reach out further to capture prey while swimming. Neck expansion creates suction when the head is thrust forward and the oropharynx is expanded, and this morphology suggests the retraction function is for feeding purposes as the suction helps catch prey.[22] The protection the shell provides the head when it is retracted is therefore not the main function of retraction, thus is an exaptation.[23] As for the difference between the two methods of retraction, both Pleurodirans and Cryptodirans use the quick extension of the neck as a method of predation, so the difference in retraction mechanism is not due to a difference in ecological niche.[24]
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Most turtles that spend most of their lives on land have their eyes looking down at objects in front of them. Some aquatic turtles, such as snapping turtles and soft-shelled turtles, have eyes closer to the top of the head. These species of turtle can hide from predators in shallow water, where they lie entirely submerged except for their eyes and nostrils. Near their eyes, sea turtles possess glands that produce salty tears that rid their body of excess salt taken in from the water they drink.
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Turtles have rigid beaks and use their jaws to cut and chew food. Instead of having teeth, which they appear to have lost about 150–200 million years ago,[25] the upper and lower jaws of the turtle are covered by horny ridges. Carnivorous turtles usually have knife-sharp ridges for slicing through their prey. Herbivorous turtles have serrated-edged ridges that help them cut through tough plants. They use their tongues to swallow food, but unlike most reptiles, they cannot stick out their tongues to catch food.
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The upper shell of the turtle is called the carapace. The lower shell that encases the belly is called the plastron. The carapace and plastron are joined together on the turtle's sides by bony structures called bridges. The inner layer of a turtle's shell is made up of about 60 bones that include portions of the backbone and the ribs, meaning the turtle cannot crawl out of its shell. In most turtles, the outer layer of the shell is covered by horny scales called scutes that are part of its outer skin, or epidermis. Scutes are made up of the fibrous protein keratin that also makes up the scales of other reptiles. These scutes overlap the seams between the shell bones and add strength to the shell. Some turtles do not have horny scutes; for example, the leatherback sea turtle and the soft-shelled turtles have shells covered with leathery skin instead.
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The shape of the shell gives helpful clues about how a turtle lives. Most tortoises have a large, dome-shaped shell that makes it difficult for predators to crush the shell between their jaws. One of the few exceptions is the African pancake tortoise, which has a flat, flexible shell that allows it to hide in rock crevices. Most aquatic turtles have flat, streamlined shells, which aid in swimming and diving. American snapping turtles and musk turtles have small, cross-shaped plastrons that give them more efficient leg movement for walking along the bottom of ponds and streams. Another exception is the Belawan Turtle (Cirebon, West Java), which has sunken-back soft-shell.
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The color of a turtle's shell may vary. Shells are commonly colored brown, black, or olive green. In some species, shells may have red, orange, yellow, or grey markings, often spots, lines, or irregular blotches. One of the most colorful turtles is the eastern painted turtle, which includes a yellow plastron and a black or olive shell with red markings around the rim.
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Tortoises, being land-based, have rather heavy shells. In contrast, aquatic and soft-shelled turtles have lighter shells that help them avoid sinking in water and swim faster with more agility. These lighter shells have large spaces called fontanelles between the shell bones. The shells of leatherback sea turtles are extremely light because they lack scutes and contain many fontanelles.
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It has been suggested by Jackson (2002) that the turtle shell can function as pH buffer. To endure through anoxic conditions, such as winter periods trapped beneath ice or within anoxic mud at the bottom of ponds, turtles utilize two general physiological mechanisms. In the case of prolonged periods of anoxia, it has been shown that the turtle shell both releases carbonate buffers and uptakes lactic acid.[26]
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Respiration, for many amniotes, is achieved by the contraction and relaxation of specific muscle groups (i.e. intercostals, abdominal muscles, and/or a diaphragm) attached to an internal rib-cage that can expand or contract the body wall thus assisting airflow in and out of the lungs.[27] The ribs of Chelonians, however, are fused with their carapace and external to their pelvic and pectoral girdles, a feature unique among turtles. This rigid shell is not capable of expansion, and by rendering their rib-cage immobile, Testudines have had to evolve special adaptations for respiration.[28][29]
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Turtle pulmonary ventilation occurs by using specific groups of abdominal muscles attached to their viscera and shell that pull the lungs ventrally during inspiration, where air is drawn in via a negative pressure gradient (Boyle's Law).[27] In expiration, the contraction of the transversus abdominis is the driving force by propelling the viscera into the lungs and expelling air under positive pressure.[28] Conversely, the relaxing and flattening of the oblique abdominis muscle pulls the transversus back down which, once again, draws air back into the lungs.[28] Important auxiliary muscles used for ventilatory processes are the pectoralis, which is used in conjunction with the transverse abdominis during inspiration, and the serratus, which moves with the abdominal oblique accompanying expiration.
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The lungs of Testudines are multi-chambered and attached their entire length down the carapace. The number of chambers can vary between taxa, though most commonly they have three lateral chambers, three medial chambers, and one terminal chamber.[30] As previously mentioned, the act of specific abdominal muscles pulling down the viscera (or pushing back up) is what allows for respiration in turtles. Specifically, it is the turtles large liver that pulls or pushes on the lungs.[28] Ventral to the lungs, in the coelomic cavity, the liver of turtles is attached directly to the right lung, and their stomach is directly attached to the left lung by the ventral mesopneumonium, which is attached to their liver by the ventral mesentery.[28] When the liver is pulled down, inspiration begins. Supporting the lungs is the post-pulmonary septum, which is found in all Testudines, and is thought to prevent the lungs from collapsing.[31]
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As mentioned above, the outer layer of the shell is part of the skin; each scute (or plate) on the shell corresponds to a single modified scale. The remainder of the skin has much smaller scales, similar to the skin of other reptiles. Turtles do not molt their skins all at once as snakes do, but continuously in small pieces. When turtles are kept in aquaria, small sheets of dead skin can be seen in the water (often appearing to be a thin piece of plastic) having been sloughed off when the animals deliberately rub themselves against a piece of wood or stone. Tortoises also shed skin, but dead skin is allowed to accumulate into thick knobs and plates that provide protection to parts of the body outside the shell.
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By counting the rings formed by the stack of smaller, older scutes on top of the larger, newer ones, it is possible to estimate the age of a turtle, if one knows how many scutes are produced in a year.[32] This method is not very accurate, partly because growth rate is not constant, but also because some of the scutes eventually fall away from the shell.
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Terrestrial tortoises have short, sturdy feet. Tortoises are famous for moving slowly, in part because of their heavy, cumbersome shells, which restrict stride length.
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Amphibious turtles normally have limbs similar to those of tortoises, except that the feet are webbed and often have long claws. These turtles swim using all four feet in a way similar to the dog paddle, with the feet on the left and right side of the body alternately providing thrust. Large turtles tend to swim less than smaller ones, and the very big species, such as alligator snapping turtles, hardly swim at all, preferring to walk along the bottom of the river or lake. As well as webbed feet, turtles have very long claws, used to help them clamber onto riverbanks and floating logs upon which they bask. Male turtles tend to have particularly long claws, and these appear to be used to stimulate the female while mating. While most turtles have webbed feet, some, such as the pig-nosed turtle, have true flippers, with the digits being fused into paddles and the claws being relatively small. These species swim in the same way as sea turtles do (see below).
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Sea turtles are almost entirely aquatic and have flippers instead of feet. Sea turtles fly through the water, using the up-and-down motion of the front flippers to generate thrust; the back feet are not used for propulsion but may be used as rudders for steering. Compared with freshwater turtles, sea turtles have very limited mobility on land, and apart from the dash from the nest to the sea as hatchlings, male sea turtles normally never leave the sea. Females must come back onto land to lay eggs. They move very slowly and laboriously, dragging themselves forwards with their flippers.
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Turtles are thought to have exceptional night vision due to the unusually large number of rod cells in their retinas. Turtles have color vision with a wealth of cone subtypes with sensitivities ranging from the near ultraviolet (UVA) to red. Some land turtles have very poor pursuit movement abilities, which are normally found only in predators that hunt quick-moving prey, but carnivorous turtles are able to move their heads quickly to snap.
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While typically thought of as mute, turtles make various sounds when communicating. Tortoises may be vocal when courting and mating. Various species of both freshwater and sea turtles emit numerous types of calls, often short and low frequency, from the time they are in the egg to when they are adults. These vocalizations may serve to create group cohesion when migrating.[33]
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It has been reported that wood turtles are better than white rats at learning to navigate mazes.[34] Case studies exist of turtles playing.[34] They do, however, have a very low encephalization quotient (relative brain to body mass), and their hard shells enable them to live without fast reflexes or elaborate predator avoidance strategies.[35]
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In the laboratory, turtles (Pseudemys nelsoni) can learn novel operant tasks and have demonstrated a long-term memory of at least 7.5 months.[36] Similarly, giant tortoises can learn and remember tasks, and master lessons much faster when trained in groups.[37] Remarkably, tortoises that were tested 9 years after the initial training still retained the operant conditioning.[38]
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Turtles are known for displaying a wide variety of mating behaviors, however, they are not known for forming pair-bonds or for being part of a social group.[39] Once fertilization has occurred and an offspring has been produced, neither parent will provide care for the offspring once it's hatched.[39] Females generally outnumber males in various turtle species (such as Green turtles), and as a result, most males will engage in multiple copulation with multiple partners throughout their lifespan.[40] However, due to the sexual dimorphism present in most turtle species, males must develop different courting strategies or use alternate methods to gain access to a potential mate.[41] Most terrestrial species have males that are larger than females, and fighting between males often determines a hierarchical order in which the higher up the order an individual is, the better the chance is of the individual getting access to a potential mate.[41] For most semi-aquatic species and bottom-walking aquatic species, combat occurs less often. Males belonging to semi-aquatic and bottom-walking species instead often use their larger size advantage to forcibly mate with a female.[41] In fully aquatic species, males are often smaller than females and therefore they cannot use the same strategy as their semi-aquatic relatives, which relies on overpowering the females with strength. Males in this category resort to using courtship displays in an attempt to gain mating access to a female.[41]
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Wood turtles are an example of a terrestrial species where the males have a hierarchical ranking system based on dominance through fighting, and it's shown that the males with the highest rank and thus the most wins in fights have the most offspring.[39]
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Galapagos tortoises are another example of a species which has a hierarchical rank that is determined by dominance displays, and access to food and mates is regulated by this dominance hierarchy.[42] Two male saddle backs most often compete for access to cactus trees, which is their source of food.[43] The winner is the individual who stretches their neck the highest, and that individual gets access to the cactus tree, which can attract potential mates.[43]
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The male scorpion mud turtle is an example of a bottom-walking aquatic species that relies on overpowering females with its larger size as a mating strategy.[41] The male approaches the female from the rear, and often resorts to aggressive methods such as biting the female's tail or hind limbs, followed by a mounting behavior in which the male clasps the edges of her carapace with his forelimbs and hind limbs to hold her in position.[44] The male follows this action by laterally waving his head and sometimes biting the female's head in an attempt to get her to withdraw her head into her shell. This exposes her cloaca, and with it exposed, the male can attempt copulation by trying to insert his grasping tail.[44]
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Male radiated tortoises are also known to use the force mating strategy wherein they use surrounding vegetation to trap or prevent females from escaping, then pin them down for copulation.[45]
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Red-eared sliders are an example of a fully aquatic species in which the male performs a courtship behavior. In this case the male extends his forelegs with the palms facing out and flutters his forelegs in the female's face.[46] Female choice is important in this method, and the females of some species, such as green sea turtles, aren't always receptive. As such, they've evolved certain behaviors to avoid the male's attempts at copulation, such as swimming away, confronting the male followed by biting, or a refusal position in which the female assumes a vertical position with her limbs widely outspread and her plastron facing the male.[40] If the water is too shallow to perform the refusal position, the females will resort to beaching themselves, which is a proven deterrent method, as the males will not follow them ashore.[40]
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Although many turtles spend large amounts of their lives underwater, all turtles and tortoises breathe air and must surface at regular intervals to refill their lungs. Immersion periods vary between 60 seconds and 1 hour depending on the species.[47] They can also spend much or all of their lives on dry land. Aquatic respiration in Australian freshwater turtles is currently being studied. Some species have large cloacal cavities that are lined with many finger-like projections. These projections, called papillae, have a rich blood supply and increase the surface area of the cloaca. The turtles can take up dissolved oxygen from the water using these papillae, in much the same way that fish use gills to respire.[48]
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Like other reptiles, turtles lay eggs that are slightly soft and leathery. The eggs of the largest species are spherical while the eggs of the rest are elongated. Their albumen is white and contains a different protein from bird eggs, such that it will not coagulate when cooked. Turtle eggs prepared to eat consist mainly of yolk. In some species, temperature determines whether an egg develops into a male or a female: a higher temperature causes a female, a lower temperature causes a male. Large numbers of eggs are deposited in holes dug into mud or sand. They are then covered and left to incubate by themselves. Depending on the species, the eggs will typically take 70–120 days to hatch.[citation needed] When the turtles hatch, they squirm their way to the surface and head toward the water. There are no known species in which the mother cares for her young.
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Sea turtles lay their eggs on dry, sandy beaches. Immature sea turtles are not cared for by the adults. Turtles can take many years to reach breeding age, and in many cases, breed every few years rather than annually.
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Researchers have recently discovered a turtle's organs do not gradually break down or become less efficient over time, unlike most other animals. It was found that the liver, lungs, and kidneys of a centenarian turtle are virtually indistinguishable from those of its immature counterpart. This has inspired genetic researchers to begin examining the turtle genome for longevity genes.[49]
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A group of turtles is known as a bale.[50]
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A turtle's diet varies greatly depending on the environment in which it lives. Adult turtles typically eat aquatic plants;[citation needed] invertebrates such as insects, snails, and worms; and have been reported to occasionally eat dead marine animals. Several small freshwater species are carnivorous, eating small fish and a wide range of aquatic life. However, protein is essential to turtle growth and juvenile turtles are purely carnivorous.
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Sea turtles typically feed on jellyfish, sponges, and other soft-bodied organisms. Some species with stronger jaws have been observed to eat shellfish, while others, such as the green sea turtle, do not eat meat at all and, instead, have a diet largely made up of algae.[51]
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Based on body fossils, the first proto-turtles are believed to have existed in the late Triassic Period of the Mesozoic era, about 220 million years ago, and their shell, which has remained a remarkably stable body plan, is thought to have evolved from bony extensions of their backbones and broad ribs that expanded and grew together to form a complete shell that offered protection at every stage of its evolution, even when the bony component of the shell was not complete. This is supported by fossils of the freshwater Odontochelys semitestacea or "half-shelled turtle with teeth", from the late Triassic, which have been found near Guangling in southwest China. Odontochelys displays a complete bony plastron and an incomplete carapace, similar to an early stage of turtle embryonic development.[52] Prior to this discovery, the earliest-known fossil turtle ancestors, like Proganochelys, were terrestrial and had a complete shell, offering no clue to the evolution of this remarkable anatomical feature. By the late Jurassic, turtles had radiated widely, and their fossil history becomes easier to read.
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Their exact ancestry has been disputed. It was believed they are the only surviving branch of the ancient evolutionary grade Anapsida, which includes groups such as procolophonids, millerettids, protorothyrids, and pareiasaurs. All anapsid skulls lack a temporal opening while all other extant amniotes have temporal openings (although in mammals, the hole has become the zygomatic arch). The millerettids, protorothyrids, and pareiasaurs became extinct in the late Permian period and the procolophonoids during the Triassic.[53]
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However, it was later suggested that the anapsid-like turtle skull may be due to reversion rather than to anapsid descent. More recent morphological phylogenetic studies with this in mind placed turtles firmly within diapsids, slightly closer to Squamata than to Archosauria.[54][55] All molecular studies have strongly upheld the placement of turtles within diapsids; some place turtles within Archosauria,[56] or, more commonly, as a sister group to extant archosaurs,[57][58][59][60] though an analysis conducted by Lyson et al. (2012) recovered turtles as the sister group of lepidosaurs instead.[61] Reanalysis of prior phylogenies suggests that they classified turtles as anapsids both because they assumed this classification (most of them studying what sort of anapsid turtles are) and because they did not sample fossil and extant taxa broadly enough for constructing the cladogram. Testudines were suggested to have diverged from other diapsids between 200 and 279 million years ago, though the debate is far from settled.[54][57][62] Even the traditional placement of turtles outside Diapsida cannot be ruled out at this point. A combined analysis of morphological and molecular data conducted by Lee (2001) found turtles to be anapsids (though a relationship with archosaurs couldn't be statistically rejected).[63] Similarly, a morphological study conducted by Lyson et al.. (2010) recovered them as anapsids most closely related to Eunotosaurus.[64] A molecular analysis of 248 nuclear genes from 16 vertebrate taxa suggests that turtles are a sister group to birds and crocodiles (the Archosauria).[65] The date of separation of turtles and birds and crocodiles was estimated to be 255 million years ago. The most recent common ancestor of living turtles, corresponding to the split between Pleurodira and Cryptodira, was estimated to have occurred around 157 million years ago.[66][67] The oldest definitive crown-group turtle (member of the modern clade Testudines) is the species Caribemys oxfordiensis from the late Jurassic period (Oxfordian stage).[66] Through utilizing the first genomic-scale phylogenetic analysis of ultraconserved elements (UCEs) to investigate the placement of turtles within reptiles, Crawford et al. (2012) also suggest that turtles are a sister group to birds and crocodiles (the Archosauria).[68]
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The first genome-wide phylogenetic analysis was completed by Wang et al. (2013). Using the draft genomes of Chelonia mydas and Pelodiscus sinensis, the team used the largest turtle data set to date in their analysis and concluded that turtles are likely a sister group of crocodilians and birds (Archosauria).[69] This placement within the diapsids suggests that the turtle lineage lost diapsid skull characteristics as it now possesses an anapsid-like skull.
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The earliest known fully shelled member of the turtle lineage is the late Triassic Proganochelys. This genus already possessed many advanced turtle traits, and thus probably indicates many millions of years of preceding turtle evolution; this is further supported by evidence from fossil tracks from the Early Triassic of the United States (Wyoming and Utah) and from the Middle Triassic of Germany, indicating that proto-turtles already existed as early as the Early Triassic.[70] Proganochelys lacked the ability to pull its head into its shell, had a long neck, and had a long, spiked tail ending in a club. While this body form is similar to that of ankylosaurs, it resulted from convergent evolution.
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Turtles are divided into two extant suborders: Cryptodira and Pleurodira. The Cryptodira is the larger of the two groups and includes all the marine turtles, the terrestrial tortoises, and many of the freshwater turtles. The Pleurodira are sometimes known as the side-necked turtles, a reference to the way they retract their heads into their shells. This smaller group consists primarily of various freshwater turtles. Until 3,000 years ago, the family Meiolaniidae was also extant, but this family is outside the Testudines crown group, belonging to Perichelydia.
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Order Testudines Linnaeus, 1758
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Turtle fossils of hatchling and nestling size have been documented in the scientific literature.[71] Paleontologists from North Carolina State University have found the fossilized remains of the world's largest turtle in a coal mine in Colombia. The specimen named as Carbonemys cofrinii is around 60 million years old and nearly 2.4 m (8 ft) long.[72]
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On a few rare occasions, paleontologists have succeeded in unearthing large numbers of Jurassic or Cretaceous turtle skeletons accumulated in a single area (the Nemegt Formation in Mongolia, the Turtle Graveyard in North Dakota, or the Black Mountain Turtle Layer in Wyoming). The most spectacular find of this kind to date occurred in 2009 in Shanshan County in Xinjiang, where over a thousand ancient freshwater turtles apparently died after the last water hole in an area dried out during a major drought.[73][74]
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Though absent from New Zealand in recent times, turtle fossils are known from the Miocene Saint Bathans Fauna, represented by a meiolaniid and pleurodires.[75]
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Turtles possess diverse chromosome numbers (2n = 28–66) and a myriad of chromosomal rearrangements have occurred during evolution.[76]
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Some turtles, particularly small terrestrial and freshwater turtles, are kept as pets. Among the most popular are Russian tortoises, spur-thighed tortoises, and red-eared sliders.[77]
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In the United States, due to the ease of contracting salmonellosis through casual contact with turtles, the U.S. Food and Drug Administration (FDA) established a regulation in 1975 to discontinue the sale of turtles under 4 in (100 mm).[78] It is supposed to be illegal in every US state for anyone to sell any turtles under 4 inches (10 cm) long, but many stores and flea markets still sell small turtles due to a loophole in the FDA regulation which allows turtles under 4 in (100 mm) to be sold for educational purposes.[79][80]
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Some states have other laws and regulations regarding possession of red-eared sliders as pets because they are looked upon as invasive species or pests where they are not native, but have been introduced through the pet trade. As of July 1, 2007, it is illegal in Florida to sell any wild type red-eared slider.[81] Unusual color varieties such as albino and pastel red-eared sliders, which are derived from captive breeding, are still allowed for sale in that state.
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In Europe, turtle and tortoise keeping became popular in the 1960s and 1970s, when large numbers of wild-caught turtles and tortoises were imported. This was especially devastating to the Mediterranean tortoise population. In the 1980s the import of wild-caught tortoises started to be banned in various countries. Most turtles and tortoises for sale in Europe today are captive-bred. [82]
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Turtles and tortoises are seen by some people as cheap pets that need little care. The complexity and expense of proper turtle and tortoise husbandry is often underestimated.[82] Most species of tortoise need a spacious outdoor enclosure with areas at different temperatures so they can thermoregulate. They also need opportunities to climb, dig and forage. Most species of tortoise should be fed dark, leafy greens with calcium and vitamin supplements. [83]
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Turtles require a large tub or aquarium with land areas where they can dry off completely and other areas where they can rest near the water's surface, on a piece of submerged driftwood for example. Like tortoises, turtles need access to UVB lighting and a varied diet rich in calcium. [84]
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The flesh of turtles, calipash or calipee, was and still is considered a delicacy in a number of cultures.[85] Turtle soup has been a prized dish in Anglo-American cuisine,[86] and still remains so in some parts of Asia.[which?] Gopher tortoise stew was popular with some groups in Florida.[87]
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Turtles remain a part of the traditional diet on the island of Grand Cayman, so much so that when wild stocks became depleted, a turtle farm was established specifically to raise sea turtles for their meat. The farm also releases specimens to the wild as part of an effort to repopulate the Caribbean Sea.[88]
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Fat from turtles is also used in the Caribbean and in Mexico as a main ingredient in cosmetics, marketed under its Spanish name crema de tortuga.[89]
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Turtle plastrons (the part of the shell that covers a tortoise from the bottom) are widely used in traditional Chinese medicine; according to statistics, Taiwan imports hundreds of tons of plastrons every year.[90] A popular medicinal preparation based on powdered turtle plastron (and a variety of herbs) is the guilinggao jelly;[91] these days, though, it is typically made with only herbal ingredients.
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In February 2011, the Tortoise and Freshwater Turtle Specialist Group published a report about the top 25 species of turtles most likely to become extinct, with a further 40 species at very high risk of becoming extinct. This list excludes sea turtles, however, both the leatherback and the Kemp's ridley would make the top 25 list. The report is due to be updated in four years time allowing to follow the evolution of the list. Between 48 and 54% of all 328 of their species considered threatened, turtles and tortoises are at a much higher risk of extinction than many other vertebrates. Of the 263 species of freshwater and terrestrial turtles, 117 species are considered Threatened, 73 are either Endangered or Critically Endangered and 1 is Extinct. Of the 58 species belonging to the family Testudinidae, 33 species are Threatened, 18 are either Endangered or Critically Endangered, 1 is Extinct in the wild and 7 species are Extinct. 71% of all tortoise species are either gone or almost gone. Asian species are the most endangered, closely followed by the five endemic species from Madagascar. Turtles face many threats, including habitat destruction, harvesting for consumption, and the pet trade. The high extinction risk for Asian species is primarily due to the long-term unsustainable exploitation of turtles and tortoises for consumption and traditional Chinese medicine, and to a lesser extent for the international pet trade.[92]
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Efforts have been made by Chinese entrepreneurs to satisfy increasing demand for turtle meat as gourmet food and traditional medicine with farmed turtles, instead of wild-caught ones; according to a study published in 2007, over a thousand turtle farms operated in China.[93][94] Turtle farms in Oklahoma and Louisiana raise turtles for export to China.[94]
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Nonetheless, wild turtles continue to be caught and sent to market in large number (as well as to turtle farms, to be used as breeding stock[93]), resulting in a situation described by conservationists as "the Asian turtle crisis".[95] In the words of the biologist George Amato, "the amount and the volume of captured turtles ... vacuumed up entire species from areas in Southeast Asia", even as biologists still did not know how many distinct turtle species live in the region.[96] About 75% of Asia's 90 tortoise and freshwater turtle species are estimated to have become threatened.[94]
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Harvesting wild turtles is legal in a number of states in the USA.[94] In one of these states, Florida, just a single seafood company in Fort Lauderdale was reported in 2008 as buying about 5,000 pounds of softshell turtles a week. The harvesters (hunters) are paid about $2 a pound; some manage to catch as many as 30–40 turtles (500 pounds) on a good day. Some of the catch gets to the local restaurants, while most of it is exported to Asia. The Florida Fish and Wildlife Conservation Commission estimated in 2008 that around 3,000 pounds of softshell turtles were exported each week via Tampa International Airport.[97]
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Nonetheless, the great majority of turtles exported from the USA are farm raised. According to one estimate by the World Chelonian Trust, about 97% of 31.8 million animals harvested in the U.S. over a three-year period (November 4, 2002 – November 26, 2005) were exported.[94][98] It has been estimated (presumably, over the same 2002–2005 period) that about 47% of the US turtle exports go to People's Republic of China (predominantly to Hong Kong), another 20% to Taiwan, and 11% to Mexico.[99][100]
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TurtleSAt is a smartphone app that has been developed in Australia in honor of World Turtle Day to help in the conservation of fresh water turtles in Australia. The app will allow the user to identify turtles with a picture guide and the location of turtles using the phones GPS to record sightings and help find hidden turtle nesting grounds. The app has been developed because there has been a high per cent of decline of fresh water turtles in Australia due to foxes, droughts, and urban development. The aim of the app is to reduce the number of foxes and help with targeting feral animal control.[101]
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Queensland's shark culling program, which has killed roughly 50,000 sharks since 1962, has also killed thousands of turtles as bycatch.[102][103] Over 5,000 marine turtles have been killed in Queensland's "shark control" program (which uses shark nets and drum lines).[103] The program has also killed 719 loggerhead turtles and 33 hawksbill turtles (hawksbill turtles are critically endangered).[103] New South Wales has a "shark control" program which has killed many turtles: its program uses shark nets,[104][105] in which more than 5,000 marine turtles have been caught.[106]
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Tortoises (/ˈtɔːr.təs.ɪz/) are reptile species of the family Testudinidae of the order Testudines (the turtles). They are particularly distinguished from other turtles by being land-dwelling, while many (though not all) other turtle species are at least partly aquatic. Like other turtles, tortoises have a shell to protect from predation and other threats. The shell in tortoises is generally hard, and like other members of the suborder Cryptodira, they retract their necks and heads directly backwards into the shell to protect them.
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Tortoises are unique among vertebrates in that the pectoral and pelvic girdles are inside the ribcage rather than outside. Tortoises can vary in dimension from a few centimeters to two meters. They are usually diurnal animals with tendencies to be crepuscular depending on the ambient temperatures. They are generally reclusive animals. Tortoises are the longest-living land animals in the world, although the longest-living species of tortoise is a matter of debate. Galápagos tortoises are noted to live over 150 years, but an Aldabra giant tortoise named Adwaita may have lived an estimated 255 years. In general, most tortoise species can live 80–150 years.
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Differences exist in usage of the common terms turtle, tortoise, and terrapin, depending on the variety of English being used; usage is inconsistent and contradictory.[1] These terms are common names and do not reflect precise biological or taxonomic distinctions.[2]
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The American Society of Ichthyologists and Herpetologists uses "turtle" to describe all species of the order Testudines, regardless of whether they are land-dwelling or sea-dwelling, and uses "tortoise" as a more specific term for slow-moving terrestrial species.[1] General American usage agrees; turtle is often a general term (although some restrict it to aquatic turtles); tortoise is used only in reference to terrestrial turtles or, more narrowly, only those members of Testudinidae, the family of modern land tortoises; and terrapin may refer to turtles that are small and live in fresh and brackish water, in particular the diamondback terrapin (Malaclemys terrapin).[3][4][5][6] In America, for example, the members of the genus Terrapene dwell on land, yet are referred to as box turtles rather than tortoises.[2]
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British usage, by contrast, tends not to use "turtle" as a generic term for all members of the order, and also applies the term "tortoises" broadly to all land-dwelling members of the order Testudines, regardless of whether they are actually members of the family Testudinidae.[6] In Britain, terrapin is used to refer to a larger group of semiaquatic turtles than the restricted meaning in America.[4][7]
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Australian usage is different from both American and British usage.[6] Land tortoises are not native to Australia, yet traditionally freshwater turtles have been called "tortoises" in Australia.[8] Some Australian experts disapprove of this usage—believing that the term tortoises is "better confined to purely terrestrial animals with very different habits and needs, none of which are found in this country"—and promote the use of the term "freshwater turtle" to describe Australia's primarily aquatic members of the order Testudines because it avoids misleading use of the word "tortoise" and also is a useful distinction from marine turtles.[8]
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Most species of tortoises lay small clutch sizes, seldom exceeding 20 eggs, and many species have clutch sizes of only 1–2 eggs. Incubation is characteristically long in most species, the average incubation period are between 100 and 160 days. Egg-laying typically occurs at night, after which the mother tortoise covers her clutch with sand, soil, and organic material. The eggs are left unattended, and depending on the species, take from 60 to 120 days to incubate.[9] The size of the egg depends on the size of the mother and can be estimated by examining the width of the cloacal opening between the carapace and plastron. The plastron of a female tortoise often has a noticeable V-shaped notch below the tail which facilitates passing the eggs. Upon completion of the incubation period, a fully formed hatchling uses an egg tooth to break out of its shell. It digs to the surface of the nest and begins a life of survival on its own. They are hatched with an embryonic egg sac which serves as a source of nutrition for the first three to seven days until they have the strength and mobility to find food. Juvenile tortoises often require a different balance of nutrients than adults, so may eat foods which a more mature tortoise would not. For example, the young of a strictly herbivorous species commonly will consume worms or insect larvae for additional protein.[citation needed]
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The number of concentric rings on the carapace, much like the cross-section of a tree, can sometimes give a clue to how old the animal is, but, since the growth depends highly on the accessibility of food and water, a tortoise that has access to plenty of forage (or is regularly fed by its owner) with no seasonal variation will have no noticeable rings. Moreover, some tortoises grow more than one ring per season, and in some others, due to wear, some rings are no longer visible.[10]
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Tortoises generally have one of the longest lifespans of any animal, and some individuals are known to have lived longer than 150 years.[11]
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Because of this, they symbolize longevity in some cultures, such as China. The oldest tortoise ever recorded, and one of the oldest individual animals ever recorded, was Tu'i Malila, which was presented to the Tongan royal family by the British explorer James Cook shortly after its birth in 1777. Tu'i Malila remained in the care of the Tongan royal family until its death by natural causes on May 19, 1965, at the age of 188.[12] The record for the longest-lived vertebrate is exceeded only by one other, a koi named Hanako, whose death on July 17, 1977, ended a 226-year lifespan.[13]
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The Alipore Zoo in India was the home to Adwaita, which zoo officials claimed was the oldest living animal until its death on March 23, 2006. Adwaita (also spelled Addwaita) was an Aldabra giant tortoise brought to India by Lord Wellesley, who handed it over to the Alipur Zoological Gardens in 1875 when the zoo was set up. West Bengal officials said records showed Adwaita was at least 150 years old, but other evidence pointed to 250. Adwaita was said to be the pet of Robert Clive.[14]
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Harriet was a resident at the Australia Zoo in Queensland from 1987 to her death in 2006; she was believed to have been brought to England by Charles Darwin aboard the Beagle and then on to Australia by John Clements Wickham.[15] Harriet died on June 23, 2006, just shy of her 176th birthday.
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Timothy, a female spur-thighed tortoise, lived to be about 165 years old. For 38 years, she was carried as a mascot aboard various ships in Britain's Royal Navy. Then in 1892, at age 53, she retired to the grounds of Powderham Castle in Devon. Up to the time of her death in 2004, she was believed to be the United Kingdom's oldest resident.[16]
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Jonathan, a Seychelles giant tortoise living on the island of St Helena, may be as old as 188 years [17] or 184 years.[18]
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Many species of tortoises are sexually dimorphic, though the differences between males and females vary from species to species.[19] In some species, males have a longer, more protruding neck plate than their female counterparts, while in others, the claws are longer on the females.
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The male plastron is curved inwards to aid reproduction. The easiest way to determine the sex of a tortoise is to look at the tail. The females, as a general rule, have smaller tails, dropped down, whereas the males have much longer tails which are usually pulled up and to the side of the rear shell.
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The brain of a tortoise is extremely small. Red-footed tortoises, from Central and South America, do not have an area in the brain called the hippocampus, which relates to emotion, learning, memory and spatial navigation. Studies have shown that red-footed tortoises may rely on an area of the brain called the medial cortex for emotional actions, an area that humans use for actions such as decision making.[20]
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In the 17th century, Francesco Redi performed an experiment that involved removing the brain of a land tortoise, which then proceeded to live six months. Freshwater tortoises, when subjected to the same experiment, continued similarly, but did not live so long. Redi also cut the head off a tortoise entirely, and it lived for 23 days.[21][22][23]
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Tortoises are found from southern North America to southern South America, around the Mediterranean basin, across Eurasia to Southeast Asia, in sub-Saharan Africa, Madagascar, and some Pacific islands. They are absent from Australasia [24] They live in diverse habitats, including deserts, arid grasslands, and scrub to wet evergreen forests, and from sea level to mountains. Most species, however, occupy semiarid habitats.
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Most land-based tortoises are herbivores, feeding on grasses, weeds, leafy greens, flowers, and some fruits, although some omnivorous species are in this family. Pet tortoises typically require diets based on wild grasses, weeds, leafy greens and certain flowers. Certain species consume worms or insects and carrion in their normal habitats. Too much protein is detrimental in herbivorous species, and has been associated with shell deformities and other medical problems. Different tortoise species vary greatly in their nutritional requirements.
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This species list largely follows Turtle Taxonomy Working Group (2019)[25] and the Turtle Extinctions Working Group (2015)[26]
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Family Testudinidae Batsch 1788[27]
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In Hinduism, Kurma (Sanskrit: कुर्म) was the second Avatar of Vishnu. Like the Matsya Avatara, Kurma also belongs to the Satya Yuga. Vishnu took the form of a half-man, half-tortoise, the lower half being a tortoise. He is normally shown as having four arms. He sat on the bottom of the ocean after the Great Flood. A mountain was placed on his back by the other gods so they could churn the sea and find the ancient treasures of the Vedic peoples.
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In Judaism and early Christianity tortoises were seen as unclean animals .[43]
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Tortoise shells were used by ancient Chinese as oracle bones to make predictions.
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The tortoise is a symbol of the Ancient Greek god, Hermes.
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See also World Turtle and Cultural depictions of turtles.
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Baby Testudo marginata emerges from its egg
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Baby tortoise, less than a day old
|
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Testudo graeca ibera, Testudo hermanni boettgeri, Testudo hermanni hermanni, Testudo marginata sarda
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Young (3.5 years) African spurred tortoise, Geochelone sulcata
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Young, 20-year-old Tanzanian leopard tortoise feeding on grass
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Aldabra giant tortoise, Geochelone gigantea
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22-year-old leopard tortoise
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African spurred tortoise from the Oakland Zoo
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Pair of African spurred tortoises mate in a zoo
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Boy rides a tortoise at a zoo
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Video of tortoises mating
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Young Testudo hermanni
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Tuscany (/ˈtʌskəni/ TUSK-ə-nee; Italian: Toscana [tosˈkaːna]) is a region in central Italy with an area of about 23,000 square kilometres (8,900 square miles) and a population of about 3.8 million inhabitants (2013). The regional capital is Florence (Firenze).
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Tuscany is known for its landscapes, history, artistic legacy, and its influence on high culture. It is regarded as the birthplace of the Italian Renaissance[5] and has been home to many figures influential in the history of art and science, and contains well-known museums such as the Uffizi and the Pitti Palace. Tuscany produces wines, including Chianti, Vino Nobile di Montepulciano, Morellino di Scansano and Brunello di Montalcino. Having a strong linguistic and cultural identity, it is sometimes considered "a nation within a nation".[6]
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Tuscany is a popular destination in Italy. The main tourist spots are Florence, Pisa, Castiglione della Pescaia, Grosseto and Siena.[7] The town of Castiglione della Pescaia is the most visited seaside destination in the region,[7] with seaside tourism accounting for approximately 40% of tourist arrivals. Additionally, the Maremma region, Siena, Lucca, the Chianti region, Versilia and Val d'Orcia are also internationally renowned and particularly popular spots among travellers.
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Seven Tuscan localities have been designated World Heritage Sites: the historic centre of Florence (1982); the Cathedral square of Pisa (1987); the historical centre of San Gimignano (1990); the historical centre of Siena (1995); the historical centre of Pienza (1996); the Val d'Orcia (2004), and the Medici Villas and Gardens (2013). Tuscany has over 120 protected nature reserves, making Tuscany and its capital Florence popular tourist destinations that attract millions of tourists every year.[8] In 2012, the city of Florence was the world's 89th most visited city, with 1.834 million arrivals.[9]
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Roughly triangular in shape, Tuscany borders the regions of Liguria to the northwest, Emilia-Romagna to the north, Marche to the northeast, Umbria to the east and Lazio to the southeast. The comune (municipality) of Badia Tedalda, in the Tuscan Province of Arezzo, has an exclave named Ca' Raffaello within Emilia-Romagna.
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Tuscany has a western coastline on the Ligurian Sea and the Tyrrhenian Sea, among which is the Tuscan Archipelago, of which the largest island is Elba. Tuscany has an area of approximately 22,993 square kilometres (8,878 sq mi). Surrounded and crossed by major mountain chains, and with few (but fertile) plains, the region has a relief that is dominated by hilly country used for agriculture. Hills make up nearly two-thirds (66.5%) of the region's total area, covering 15,292 square kilometres (5,904 sq mi), and mountains (of which the highest are the Apennines), a further 25%, or 5,770 square kilometres (2,230 sq mi). Plains occupy 8.4% of the total area—1,930 square kilometres (750 sq mi)—mostly around the valley of the Arno. Many of Tuscany's largest cities lie on the banks of the Arno, including the capital Florence, Empoli and Pisa.
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The climate is fairly mild in the coastal areas, and is harsher and rainy in the interior, with considerable fluctuations in temperature between winter and summer,[10] giving the region a soil-building active freeze-thaw cycle, in part accounting for the region's once having served as a key breadbasket of ancient Rome.[11]
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Sunflower field near Castiglione della Pescaia in Maremma
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Tuscan landscape near Siena
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Hilly landscape in Val d'Orcia
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Vineyard in Tuscany
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Valley in San Gimignano
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The pre-Etruscan history of the area in the middle and late Bronze parallels that of the archaic Greeks.[12] The Tuscan area was inhabited by peoples of the so-called Apennine culture in the second millennium BC (roughly 1400–1150 BC) who had trading relationships with the Minoan and Mycenaean civilizations in the Aegean Sea,[12] and, at the end of the Bronze Age, by peoples of the so-called Proto-Villanovan culture (c. 1100-900 BC) part of the central European Urnfield culture system. Following this, at the beginning of the Iron Age, the Villanovan culture (c. 900–700 BC), regarded as the oldest phase of Etruscan civilization,[13][14] saw Tuscany, and the rest of Etruria, taken over by chiefdoms.[12] City-states developed in the late Villanovan (paralleling Greece and the Aegean) before "Orientalization" occurred.[15]
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The Etruscans (Latin: Tusci) created the first major civilization in this region, large enough to establish a transport infrastructure, to implement agriculture and mining and to produce vibrant art.[16] The Etruscans lived in the area of Etruria well into prehistory.[12] The civilization grew to fill the area between the Arno and Tiber from the tenth century BCE, reaching its peak during the seventh and sixth centuries B.C., finally succumbing to the Romans by the first century BCE.[17] Despite being seen as distinct in its manners and customs by contemporary Greeks,[18] the cultures of Greece, and later Rome, influenced the civilization to a great extent. One reason for its eventual demise[17] was this increasing absorption by surrounding cultures, including the adoption of the Etruscan upper class by the Romans.[16]
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Soon after absorbing Etruria (to the north, northeast, east and a strip to the south), Rome established the cities of Lucca, Pisa, Siena, and Florence, endowed the area with new technologies and development, and ensured peace.[16] These developments included extensions of existing roads, introduction of aqueducts and sewers, and the construction of many buildings, both public and private. However, many of these structures have been destroyed by erosion due to weather.[16] The Roman civilization in the West of the Roman Republic and later Roman Empire collapsed in the fifth century, and the region fell briefly to barbarians migrating through the Empire from Eastern Europe and Central Asia of the Goths (Eastern - Ostrogoths and Western - Visigoths), then was re-conquered by the revived Eastern Roman Empire (later Byzantine Empire) under the Emperor Justinian. In the years following 572, the Lombards arrived and designated Lucca the capital of their subsequent Tuscia.[16]
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Pilgrims travelling along the Via Francigena between Rome and France brought wealth and development during the medieval period.[16] The food and shelter required by these travellers fuelled the growth of communities around churches and taverns.[16] The conflict between the Guelphs and Ghibellines, factions supporting the Papacy or the Holy Roman Empire in central and northern Italy during the 12th and 13th centuries, split the Tuscan people.[16] The two factions gave rise to several powerful and rich medieval communes in Tuscany: Arezzo, Florence, Lucca, Pisa, and Siena.[16] Balance between these communes was ensured by the assets they held: Pisa, a port; Siena, banking; and Lucca, banking and silk.[19] But by the time of the Renaissance, Florence had become the cultural capital of Tuscany.[19]
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One family that benefitted from Florence's growing wealth and power was the ruling Medici family. Its scion Lorenzo de' Medici was one of the most famous of the Medici. The legacy of his influence is visible today in the prodigious expression of art and architecture in Florence. His famous descendant Catherine de' Medici married Prince Henry (later King Henry II) of France in 1533.
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The Black Death epidemic hit Tuscany starting in 1348.[20] It eventually killed 70% of the Tuscan population.[21][22] According to Melissa Snell, "Florence lost a third of its population in the first six months of the plague, and from 45% to 75% of its population in the first year."[23] In 1630, Florence and Tuscany were once again ravaged by the plague.[24]
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Guido of Arezzo
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A page from Fibonacci's Liber Abaci (1202)
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Battle of Giglio (1241)
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Dante Alighieri, author of the Divine Comedy
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Tuscany, especially Florence, is regarded as the birthplace of the Renaissance. Though "Tuscany" remained a linguistic, cultural and geographic conception, rather than a political reality, in the 15th century, Florence extended its dominion in Tuscany through the annexation of Arezzo in 1384, the purchase of Pisa in 1405 and the suppression of a local resistance there (1406). Livorno was bought in 1421 and became the harbour of Florence.
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From the leading city of Florence, the republic was from 1434 onward dominated by the increasingly monarchical Medici family. Initially, under Cosimo, Piero the Gouty, Lorenzo and Piero the Unfortunate, the forms of the republic were retained and the Medici ruled without a title, usually without even a formal office. These rulers presided over the Florentine Renaissance. There was a return to the republic from 1494 to 1512, when first Girolamo Savonarola then Piero Soderini oversaw the state. Cardinal Giovanni de' Medici retook the city with Spanish forces in 1512, before going to Rome to become Pope Leo X. Florence was dominated by a series of papal proxies until 1527 when the citizens declared the republic again, only to have it taken from them again in 1530 after a siege by an Imperial and Spanish army. At this point Pope Clement VII and Charles V appointed Alessandro de' Medici as the first formal hereditary ruler.
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The Sienese commune was not incorporated into Tuscany until 1555, and during the 15th century Siena enjoyed a cultural 'Sienese Renaissance' with its own more conservative character. Lucca remained an independent republic until 1847 when it became part of Grand Duchy of Tuscany by the will of its people. Piombino and other strategic towns constituted the tiny State of the Presidi under Spanish control.
|
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Leonardo da Vinci
|
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|
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Lorenzo de Medici
|
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|
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Niccolò Machiavelli, author of The Prince
|
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|
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+
Amerigo Vespucci
|
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|
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In the 16th century, the Medicis, rulers of Florence, annexed the Republic of Siena, creating the Grand Duchy of Tuscany. The Medici family became extinct in 1737 with the death of Gian Gastone, and Tuscany was transferred to Francis, Duke of Lorraine and husband of Austrian Empress Maria Theresa, who let the country be ruled by his son. The dynasty of the Lorena ruled Tuscany until 1860, with the exception of the Napoleonic period, when most of the country was annexed to the French Empire. After the Second Italian War of Independence, a revolution evicted the last Grand Duke, and after a plebiscite Tuscany became part of the new Kingdom of Italy. From 1864 to 1870 Florence became the second capital of the kingdom.
|
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|
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+
Under Benito Mussolini, the area came under the dominance of local Fascist leaders such as Dino Perrone Compagni (from Florence), and Costanzo and Galeazzo Ciano (from Livorno). Following the fall of Mussolini and the armistice of 8 September 1943, Tuscany became part of the Nazi-controlled Italian Social Republic, and was conquered almost totally by the Anglo-American forces during summer 1944. Following the end of the Social Republic, and the transition from the Kingdom to the modern Italian Republic, Tuscany once more flourished as a cultural centre of Italy. After the establishment of regional autonomy in 1975, Tuscany has always been ruled by centre-left governments.
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|
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Cosimo I de' Medici, first Grand Duke of Tuscany
|
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|
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Galileo Galilei
|
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|
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Pinocchio, created by Carlo Collodi (1883)
|
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|
71 |
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An Italian partisan in Florence (August 1944)
|
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|
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Tuscany has an immense cultural and artistic heritage, expressed in the region's churches, palaces, art galleries, museums, villages and piazzas. Many of these artifacts are found in the main cities, such as Florence and Siena, but also in smaller villages scattered around the region, such as San Gimignano.
|
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+
|
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+
Tuscany has a unique artistic legacy, and Florence is one of the world's most important water-colour centres, even so that it is often nicknamed the "art palace of Italy" (the region is also believed to have the largest concentration of Renaissance art and architecture in the world).[25] Painters such as Cimabue and Giotto, the fathers of Italian painting, lived in Florence and Tuscany, as well as Arnolfo and Andrea Pisano, renewers of architecture and sculpture; Brunelleschi, Donatello and Masaccio, forefathers of the Renaissance; Ghiberti and the Della Robbias, Filippo Lippi and Angelico; Botticelli, Paolo Uccello, and the universal genius of Leonardo da Vinci and Michelangelo.[26][27]
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+
|
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The region contains numerous museums and art galleries, many housing some of the world's most precious works of art. Such museums include the Uffizi, which keeps Botticelli's The Birth of Venus, the Pitti Palace, and the Bargello, to name a few. Most of the frescos, sculptures and paintings in Tuscany are held in the region's abundant churches and cathedrals, such as Florence Cathedral, Siena Cathedral, Pisa Cathedral and the Collegiata di San Gimignano.
|
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|
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In the medieval period and in the Renaissance, there were four main Tuscan art schools which competed against each other: the Florentine School, the Sienese School, the Pisan School and the Lucchese School.
|
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|
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In the province of Arezzo:
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|
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In the province of Florence:
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|
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In the Province of Grosseto:
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In the province of Livorno:
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In the province of Lucca:
|
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In the province of Massa and Carrara:
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|
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+ Fosdinovo
|
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In the province of Pisa:
|
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In the province of Prato:
|
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+
In the province of Pistoia:
|
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|
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In the province of Siena:
|
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|
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Apart from standard Italian, the Tuscan dialect (dialetto toscano) is spoken in Tuscany. The Italian language is based historically on a "literary version" of Tuscan. It became the language of culture for all the people of Italy, thanks to the prestige of the masterpieces of Dante Alighieri, Petrarch, Giovanni Boccaccio, Niccolò Machiavelli and Francesco Guicciardini. It would later become the official language of all the Italian states and of the Kingdom of Italy, when it was formed.
|
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|
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Tuscany has a rich ancient and modern musical tradition, and has produced numerous composers and musicians, including Giacomo Puccini and Pietro Mascagni. Florence is the main musical centre of Tuscany. The city was at the heart of much of the Western musical tradition. It was there that the Florentine Camerata convened in the mid-16th century and experimented with setting tales of Greek mythology to music and staging, resulting in the first operas, fostering the further development of the operatic form, and the later developments of separate "classical" forms such as the symphony.
|
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|
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+
There are numerous musical centres in Tuscany. Arezzo is indelibly connected with the name of Guido d'Arezzo, the 11th-century monk who invented modern musical notation and the do-re-mi system of naming notes of the scale; Lucca hosted possibly the greatest Italian composer of Verismo, Giacomo Puccini together with Alfredo Catalani, while Pietro Mascagni was born in Livorno; and Siena is well known for the Accademia Musicale Chigiana, an organization that currently sponsors major musical activities such as the Siena Music Week and the Alfredo Casella International Composition Competition. Other important musical centres in Tuscany include Pisa and Grosseto.
|
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|
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Several famous writers and poets are from Tuscany, most notably Florentine author Dante Alighieri. Tuscany's literary scene particularly thrived in the 13th century and the Renaissance.
|
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|
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+
In Tuscany, especially in the Middle Ages, popular love poetry existed. A school of imitators of the Sicilians was led by Dante da Maiano, but its literary originality took another line – that of humorous and satirical poetry. The democratic form of government created a style of poetry which stood strongly against the medieval mystic and chivalrous style. Devout invocation of God or of a lady came from the cloister and the castle; in the streets of the cities everything that had gone before was treated with ridicule or biting sarcasm. Folgóre da San Gimignano laughs when in his sonnets he tells a party of Sienese youths the occupations of every month in the year, or when he teaches a party of Florentine lads the pleasures of every day in the week. Cenne della Chitarra laughs when he parodies Folgore's sonnets. The sonnets of Rustico di Filippo are half-fun and half-satire, as is the work of Cecco Angiolieri of Siena, the oldest humorist we know, a far-off precursor of François Rabelais and Michel de Montaigne.
|
112 |
+
|
113 |
+
Another type of poetry also began in Tuscany. Guittone d'Arezzo made art abandon chivalry and Provençal forms for national motives and Latin forms. He attempted political poetry, and although his work is often obscure, he prepared the way for the Bolognese school. Bologna was the city of science, and philosophical poetry appeared there. Guido Guinizelli was the poet after the new fashion of the art. In his work the ideas of chivalry are changed and enlarged. Only those whose heart is pure can be blessed with true love, regardless of class. He refuted the traditional credo of courtly love, for which love is a subtle philosophy only a few chosen knights and princesses could grasp. Love is blind to blasons but not to a good heart when it finds one: when it succeeds it is the result of the spiritual, not physical affinity between two souls. Guinizzelli's democratic view can be better understood in the light of the greater equality and freedom enjoyed by the city-states of the center-north and the rise of a middle class eager to legitimise itself in the eyes of the old nobility, still regarded with respect and admiration but in fact dispossessed of its political power. Guinizelli's Canzoni make up the bible of Dolce Stil Novo, and one in particular, "Al cor gentil" ("To a Kind Heart") is considered the manifesto of the new movement which would bloom in Florence under Cavalcanti, Dante and their followers. His poetry has some of the faults of the school of d'Arezzo. Nevertheless, he marks a great development in the history of Italian art, especially because of his close connection with Dante's lyric poetry.
|
114 |
+
|
115 |
+
In the 13th century, there were several major allegorical poems. One of these is by Brunetto Latini, who was a close friend of Dante. His Tesoretto is a short poem, in seven-syllable verses, rhyming in couplets, in which the author professes to be lost in a wilderness and to meet with a lady, who represents Nature, from whom he receives much instruction. We see here the vision, the allegory, the instruction with a moral object, three elements which we shall find again in the Divine Comedy. Francesco da Barberino, a learned lawyer who was secretary to bishops, a judge, and a notary, wrote two little allegorical poems, the Documenti d'amore and Del reggimento e dei costumi delle donne. The poems today are generally studied not as literature, but for historical context. A fourth allegorical work was the Intelligenza, which is sometimes attributed to Compagni, but is probably only a translation of French poems.
|
116 |
+
|
117 |
+
In the 15th century, humanist and publisher Aldus Manutius published the Tuscan poets Petrarch and Dante Alighieri (Divine Comedy), creating the model for what became a standard for modern Italian.
|
118 |
+
|
119 |
+
Simplicity is central to the Tuscan cuisine. Legumes, bread, cheese, vegetables, mushrooms and fresh fruit are used. Olive oil is made up of Moraiolo, Leccino and Frantoiano olives. White truffles from San Miniato appear in October and November. Beef of the highest quality comes from the Chiana Valley, specifically a breed known as Chianina used for Florentine steak. The indigenous Cinta Senese breed of pork is also produced.[28]
|
120 |
+
|
121 |
+
Wine is a famous and common produce of Tuscany. Chianti is arguably the most well known internationally. So many British tourists come to the area where Chianti wine is produced that this specific area has been nicknamed "Chiantishire".
|
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+
|
123 |
+
Between 1851 and 1860, the Grand Duchy of Tuscany, an independent Italian state until 1859 when it joined the United Provinces of Central Italy, produced two postage stamp issues which are among the most prized classic stamp issues of the world, and include the most valuable Italian stamp. The Grand Duchy of Tuscany was an independent Italian state from 1569 to 1859, but was occupied by France from 1808 to 1814. The Duchy comprised most of the present area of Tuscany, and its capital was Florence. In December 1859, the Grand Duchy officially ceased to exist, being joined to the duchies of Modena and Parma to form the United Provinces of Central Italy, which was annexed by the Kingdom of Sardinia a few months later in March 1860. In 1862 it became part of Italy, and joined the Italian postal system.
|
124 |
+
|
125 |
+
The Gross domestic product (GDP) of the region was 117.5 billion euros in 2018, accounting for 6.7% of Italy's economic output. GDP per capita adjusted for purchasing power was 31,400 euros or 104% of the EU27 average in the same year. The GDP per employee was 106% of the EU average.[29]
|
126 |
+
|
127 |
+
The unemployment rate stood at 7.3% in 2018 and was slightly lower than the national average.[30][31]
|
128 |
+
|
129 |
+
The subsoil in Tuscany is relatively rich in mineral resources, with iron ore, copper, mercury and lignite mines, the famous soffioni (fumarole) at Larderello, and the vast marble mines in Versilia. Although its share is falling all the time, agriculture still contributes to the region's economy. In the region's inland areas cereals, potatoes, olives and grapes are grown. The swamplands, which used to be marshy, now produce vegetables, rice, tobacco, beets and sunflowers.[10]
|
130 |
+
|
131 |
+
The industrial sector is dominated by mining, given the abundance of underground resources. Also of note are textiles, chemicals/pharmaceuticals, metalworking and steel, glass and ceramics, clothing and printing/publishing sectors. Smaller areas specialising in manufacturing and craft industries are found in the hinterland: the leather and footwear area in the south-west part of the province of Florence, the hot-house plant area in Pistoia, the ceramics and textile industries in the Prato area, scooters and motorcycles in Pontedera, and the processing of timber for the manufacture of wooden furniture in the Cascina area. The heavy industries (mining, steel and mechanical engineering) are concentrated along the coastal strip (Livorno and Pisa areas), where there are also important chemical industries. Also of note are the marble (Carrara area) and paper industries (Lucca area).[10]
|
132 |
+
|
133 |
+
Tuscany is a traditionally popular destination in Italy, and the main tourist destinations by number of tourist arrivals are Florence, Pisa, Montecatini Terme, Castiglione della Pescaia and Grosseto.[7] Additionally, the Chianti region, Versilia and Val d'Orcia are also internationally renowned and particularly popular spots among travellers.
|
134 |
+
|
135 |
+
In terms of seaside tourism, which represents 40% of tourist arrivals in the region, Castiglione della Pescaia's sea has been repeatedly nominated as Italy's best sea by the Italian non-governmental environmentalist organisation Legambiente.[32] Castiglione gained the first place in the most recent ranking too, published in 2019. The town is also the most visited seaside destination in Tuscany, and fourth most visited overall, with circa 1.3 million tourist arrivals recorded in 2015.[32] Other popular seaside destination are Grosseto (second most popular after Castiglione), Orbetello (third most popular), Monte Argentario, Viareggio, Elba and Giglio Island.
|
136 |
+
|
137 |
+
The fashion and textile industry are the pillars of the Florentine economy. In the 15th century, Florentines were working with luxury textiles such as wool and silk. Today the greatest designers in Europe utilize the textile industry in Tuscany, and especially Florence.
|
138 |
+
|
139 |
+
Italy has one of the strongest textile industries in Europe, accounting for approximately one quarter of European production. Its turnover is over 25 billion euros. It is the third largest supplier of clothing after China and Japan. The Italian fashion industry generates 60% of its turnover abroad.[33]
|
140 |
+
|
141 |
+
The population density of Tuscany, with 161 inhabitants per square kilometre (420/sq mi) in 2008, is below the national average (198.8/km2 or 515/sq mi). This is due to the low population density of the provinces of Arezzo, Siena, and especially Grosseto (50/km2 or 130/sq mi). The highest density is found in the province of Prato (675/km2 or 1,750/sq mi), followed by the provinces of Pistoia, Livorno, Florence and Lucca, peaking in the cities of Florence (more than 3,500/km2 or 9,100/sq mi), Livorno, Prato, Viareggio, Forte dei Marmi and Montecatini Terme (all with a population density of more than 1,000/km2 or 2,600/sq mi). The territorial distribution of the population is closely linked to the socio-cultural and, more recently, economic and industrial development of Tuscany.[10]
|
142 |
+
|
143 |
+
Accordingly, the least densely populated areas are those where the main activity is agriculture, unlike the others where, despite the presence of a number of large industrial complexes, the main activities are connected with tourism and associated services, alongside many small firms in the leather, glass, paper and clothing sectors.[10]
|
144 |
+
|
145 |
+
Italians make up 93% of the total population. Starting from the 1980s, the region has attracted a large flux of immigrants, particularly from China. There is also a significant community of British and American residents. As of 2008[update], the Italian national institute of statistics ISTAT estimated that 275,149 foreign-born immigrants live in Tuscany, equal to 7% of the total regional population.
|
146 |
+
|
147 |
+
The President of Tuscany is the head of government. Legislative power is vested in the Regional Council of Tuscany, while executive power is exercised by the Regional Government led by the President, who is directly elected by the people. The current Statute, which regulates the functioning of the regional institutions, has been in force since 2005.
|
148 |
+
|
149 |
+
Tuscany is a stronghold of the center-left Democratic Party (PD), forming with Emilia-Romagna, Umbria and Marche the so-called Italian political "Red Quadrilateral". Since 1970, Tuscany has been continuously governed by the Socialist-Communist or PD-led governments. At the February 2013 elections, Tuscany gave more than 40% of its votes to Pier Luigi Bersani, and only 20.7% to Silvio Berlusconi.[34] At the 2014 European elections, Tuscany gave 56.4% of its votes to Matteo Renzi's center-left Democratic Party.[35] Tuscany was one of only three regions to vote YES in the 2016 Italian constitutional referendum.
|
150 |
+
|
151 |
+
Tuscany is divided into nine provinces and one Metropolitan City:
|
152 |
+
|
153 |
+
Coordinates: 43°46′17″N 11°15′15″E / 43.77139°N 11.25417°E / 43.77139; 11.25417
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1 |
+
A touchpad or trackpad is a pointing device featuring a tactile sensor, a specialized surface that can translate the motion and position of a user's fingers to a relative position on the operating system that is made output to the screen. Touchpads are a common feature of laptop computers as opposed to using a mouse on a desktop, and are also used as a substitute for a mouse where desk space is scarce. Because they vary in size, they can also be found on personal digital assistants (PDAs) and some portable media players. Wireless touchpads are also available as detached accessories.
|
2 |
+
|
3 |
+
Touchpads operate in one of several ways, including capacitive sensing and resistive touchscreen. The most common technology used in the 2010s senses the change of capacitance where a finger touches the pad. Capacitance-based touchpads will not sense the tip of a pencil or other similar ungrounded or non-conducting implement. Fingers insulated by a glove may also be problematic.
|
4 |
+
|
5 |
+
While touchpads, like touchscreens, are able to sense absolute position, resolution is limited by their size. For common use as a pointer device, the dragging motion of a finger is translated into a finer, relative motion of the cursor on the output to the display on the operating system, analogous to the handling of a mouse that is lifted and put back on a surface. Hardware buttons equivalent to a standard mouse's left and right buttons are positioned adjacent to the touchpad.
|
6 |
+
|
7 |
+
Some touchpads and associated device driver software may interpret tapping the pad as a mouse click, and a tap followed by a continuous pointing motion (a "click-and-a-half") can indicate dragging.[1] Tactile touchpads allow for clicking and dragging by incorporating button functionality into the surface of the touchpad itself.[2][3] To select, one presses down on the touchpad instead of a physical button. To drag, instead of performing the "click-and-a-half" technique, the user presses down while on the object, drags without releasing pressure, and lets go when done. Touchpad drivers can also allow the use of multiple fingers to emulate the other mouse buttons (commonly two-finger tapping for the center button).
|
8 |
+
|
9 |
+
Touchpads are called clickpads if it does not have physical buttons, but instead relies on "software buttons". Physically the whole clickpad formed a button, logically the driver interpret a click as left or right button click depending on the placement of fingers.[4]
|
10 |
+
|
11 |
+
Some touchpads have "hotspots", locations on the touchpad used for functionality beyond a mouse. For example, on certain touchpads, moving the finger along an edge of the touch pad will act as a scroll wheel, controlling the scrollbar and scrolling the window that has the focus, vertically or horizontally. Many touchpads use two-finger dragging for scrolling. Also, some touchpad drivers support tap zones, regions where a tap will execute a function, for example, pausing a media player or launching an application. All of these functions are implemented in the touchpad device driver software, and can be disabled.
|
12 |
+
|
13 |
+
By 1982, Apollo desktop computers were equipped with a touchpad on the right side of the keyboard.[5] Introduced a year later, in 1983, the first battery powered clamshell laptop, the Gavilan SC included a touchpad, which was mounted above its keyboard, rather than below, which became the norm.
|
14 |
+
|
15 |
+
In in 1989 a touchpad was developed for Psion's MC 200/400/600/WORD Series .[6] Laptops with touchpads were then launched by Olivetti and Triumph-Adler in 1992.[7]Cirque introduced the first widely available touchpad, branded as GlidePoint, in 1994.[8] Apple Inc introduced touchpads to the modern laptop in the PowerBook series in 1994, using Cirque's GlidePoint technology;[9] later PowerBooks and MacBooks would use Apple-developed trackpads. Another early adopter of the GlidePoint pointing device was Sharp.[8] Later, Synaptics introduced their touchpad into the marketplace, branded the TouchPad. Epson was an early adopter of this product.[8]
|
16 |
+
|
17 |
+
As touchpads began to be introduced in laptops in the 1990s, there was often confusion as to what the product should be called. No consistent term was used, and references varied, such as: glidepoint, touch sensitive input device, touchpad, trackpad, and pointing device.[10][11][12]
|
18 |
+
|
19 |
+
Users were often presented the option to purchase a pointing stick, touchpad, or trackball. Combinations of the devices were common, though touchpads and trackballs were rarely included together.[13] Since the early 2000s, touchpads have become the dominant laptop pointing device as most laptops produced during this period beyond include only touchpads, displacing the pointing stick.
|
20 |
+
|
21 |
+
Touchpads are primarily used in self-contained portable laptop computers and do not require a flat surface near the machine. The touchpad is close to the keyboard, and only very short finger movements are required to move the cursor across the display screen; while advantageous, this also makes it possible for a user's palm or wrist to move the mouse cursor accidentally while typing. Touchpads also exist for desktop computers as an external peripheral, albeit rarely seen. Touchpads are sometimes integrated in some desktop computer keyboards, particularly keyboards oriented for HTPC use.
|
22 |
+
|
23 |
+
One-dimensional touchpads are the primary control interface for menu navigation on second-generation and later iPod Classic portable music players, where they are referred to as "click wheels", since they only sense motion along one axis, which is wrapped around like a wheel. Creative Labs also uses a touchpad for their Zen line of MP3 players, beginning with the Zen Touch. The second-generation Microsoft Zune product line (the Zune 80/120 and Zune 4/8) uses touch for the Zune Pad.
|
24 |
+
|
25 |
+
Apple's PowerBook 500 series was its first laptop to carry such a device,[14] which Apple refers to as a "trackpad". When introduced in May 1994, it replaced the trackball of previous PowerBook models. In late 2008 Apple's revisions of the MacBook and MacBook Pro incorporated a "Tactile Touchpad" design with button functionality incorporated into the tracking surface.[2][3][15] Beginning in the second generation of MacBook Pro, the entire touchpad surface acts as a clickable button.[16]
|
26 |
+
|
27 |
+
Laptops today feature multitouch touchpads that can sense in some cases up to five fingers simultaneously, providing more options for input, such as the ability to bring up the context menu by tapping two fingers, dragging two fingers for scrolling, or gestures for zoom in/out or rotate.
|
28 |
+
|
29 |
+
Psion's MC 200/400/600/WORD Series,[6] introduced in 1989, came with a new mouse-replacing input device similar to a touchpad,[17] although more closely resembling a graphics tablet, as the cursor was positioned by clicking on a specific point on the pad, instead of moving it in the direction of a stroke.
|
30 |
+
|
31 |
+
There are two principal means by which touchpads work.[citation needed] In the matrix approach, a series of conductors are arranged in an array of parallel lines in two layers, separated by an insulator and crossing each other at right angles to form a grid. A high frequency signal is applied sequentially between pairs in this two-dimensional grid array. The current that passes between the nodes is proportional to the capacitance. When a virtual ground, such as a finger, is placed over one of the intersections between the conductive layer some of the electrical field is shunted to this ground point, resulting in a change in the apparent capacitance at that location. This method received U.S. Patent 5,305,017 awarded to George Gerpheide in April 1994.
|
32 |
+
|
33 |
+
The capacitive shunt method, described in an application note by Analog Devices (not to be confused with analog devices),[18] senses the change in capacitance between a transmitter and receiver that are on opposite sides of the sensor. The transmitter creates an electric field which oscillates at 200–300 kHz. If a ground point, such as the finger, is placed between the transmitter and receiver, some of the field lines are shunted away, decreasing the apparent capacitance. Trackpads such as those found in some Blackberry smartphones work optically, like an optical computer mouse.
|
34 |
+
|
35 |
+
Major manufacturers include:
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1 |
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Toulouse (/tuːˈluːz/,[5] too-LOOZ; French: [tuluz] (listen); Occitan: Tolosa [tuˈluzo]; Latin: Tolosa [toˈloːsa]) is the capital of the French department of Haute-Garonne and of the region of Occitanie. The city is on the banks of the River Garonne, 150 kilometres (93 miles) from the Mediterranean Sea, 230 km (143 mi) from the Atlantic Ocean and 680 km (420 mi) from Paris. It is the fourth-largest city in France, with 479,553 inhabitants within its municipal boundaries (as of January 2017), and 1,360,829 inhabitants within its wider metropolitan area (also as of January 2017), after Paris, Lyon and Marseille, and ahead of Lille and Bordeaux.
|
4 |
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|
5 |
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Toulouse is the centre of the European aerospace industry, with the headquarters of Airbus (formerly EADS), the SPOT satellite system, ATR and the Aerospace Valley. It also hosts the European headquarters of Intel and CNES's Toulouse Space Centre (CST), the largest space centre in Europe.[6] Thales Alenia Space, ATR, SAFRAN, Liebherr-Aerospace and Airbus Defence and Space also have a significant presence in Toulouse.
|
6 |
+
|
7 |
+
The University of Toulouse is one of the oldest in Europe (founded in 1229) and, with more than 103,000 students, it is the fourth-largest university campus in France, after the universities of Paris, Lyon and Lille.[7]
|
8 |
+
|
9 |
+
The air route between Toulouse–Blagnac and Paris Orly is the busiest in Europe, transporting 2.4 million passengers in 2014.[8] According to the rankings of L'Express and Challenges, Toulouse is the most dynamic French city.[9][10][11]
|
10 |
+
|
11 |
+
Founded by the Romans, the city was the capital of the Visigothic Kingdom in the 5th century and the capital of the province of Languedoc in the Late Middle Ages and early modern period (provinces were abolished during the French Revolution), making it the unofficial capital of the cultural region of Occitania (Southern France). It is now the capital of the Occitanie region, the second largest region in Metropolitan France.
|
12 |
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|
13 |
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Toulouse counts three UNESCO World Heritage Sites: the Canal du Midi (designated in 1996 and shared with other cities), and the Basilica of St. Sernin, the largest remaining Romanesque building in Europe[12], designated in 1998 along with the former hospital Hôtel-Dieu Saint-Jacques because of their significance to the Santiago de Compostela pilgrimage route. The city's unique architecture made of pinkish terracotta bricks has earned Toulouse the nickname La Ville Rose (The Pink City).[citation needed]
|
14 |
+
|
15 |
+
Toulouse is in the south of France, north of the department of Haute-Garonne, on the axis of communication between the Mediterranean Sea and the Atlantic Ocean.
|
16 |
+
|
17 |
+
The city is traversed by the Canal de Brienne, the Canal du Midi and the rivers Garonne, Touch and Hers-Mort.
|
18 |
+
|
19 |
+
Toulouse has a temperate humid subtropical climate (Cfa in the Köppen climate classification). Too much precipitation during the summer months prevents the city from being classified as a Mediterranean climate zone.
|
20 |
+
|
21 |
+
|
22 |
+
|
23 |
+
The Garonne Valley was a central point for trade between the Pyrenees, the Mediterranean and the Atlantic since at least the Iron Age.
|
24 |
+
The historical name of the city, Tolosa (Τολῶσσα in Greek, and of its inhabitants, the Tolosates, first recorded in the 2nd century BC), it is of unknown meaning or origin, possibly from Aquitanian, or from Iberian,[17] but has also been connected to the name of the Gaulish Volcae Tectosages.[18]
|
25 |
+
|
26 |
+
Tolosa enters the historical period in the 2nd century BC, when it became a Roman military outpost.
|
27 |
+
After the conquest of Gaul, it was developed as a Roman city of Gallia Narbonensis. In the 5th century, Tolosa fell to the Visigothic kingdom and became one of its major cities, in the early 6th century even serving as its capital, before it fell to the Franks under Clovis in 507 (Battle of Vouillé).
|
28 |
+
From this time, Toulouse was the capital of Aquitaine within the Frankish realm.[citation needed]
|
29 |
+
|
30 |
+
In 721, Duke Odo of Aquitaine defeated an invading Umayyad Muslim army at the Battle of Toulouse. Many Arab chroniclers consider that Odo's victory was the real stop to Muslim expansion into Christian Europe, incursions of the following years being simple raids without real will of conquest (including the one that ended with Charles Martel's victory at the Battle of Tours, also called the Battle of Poitiers).[19]
|
31 |
+
|
32 |
+
The Frankish conquest of Septimania followed in the 750s, and a quasi-independent County of Toulouse emerged within the Carolingian sub-kingdom of Aquitaine by the late 8th century. The Battle of Toulouse of 844, pitting Charles the Bald against Pepin II of Aquitaine, was key in the Carolingian Civil War.
|
33 |
+
|
34 |
+
The town became the capital of the County of Toulouse during the Carolingian era.
|
35 |
+
|
36 |
+
In 1096, Raymond IV, Count of Toulouse, left with his army at the call of the Pope to join the First Crusade, of which he was one of the main leaders.
|
37 |
+
|
38 |
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At the beginning of the thirteenth century the county of Toulouse was taken in another crusade, of which it was the target this time. The reason for this was the development of Catharism in the south of France, which the Pope wanted to eradicate by all possible means. This struggle took on several aspects, going beyond the military crusade, such as the creation of an original and militant Gothic architecture: the Southern French Gothic.
|
39 |
+
|
40 |
+
In 1215 the Dominican Order was founded in Toulouse by Saint Dominic in the context of struggle against the Cathar heresy.
|
41 |
+
|
42 |
+
In the Treaty of Paris of 1229, Toulouse formally submitted to the crown of France. The county's sole heiress Joan was engaged to Alphonse, Count of Poitiers, a younger brother of Louis IX of France. The marriage became legal in 1241, but it remained childless so that after Joan's death the county fell to the crown of France by inheritance.
|
43 |
+
Also in 1229, University of Toulouse was established after the Parisian model, intended as a means to dissolve the heretic movement.[citation needed]
|
44 |
+
|
45 |
+
Various monastic orders, like the congregation of the order of frères prêcheurs, were started. They found home in Les Jacobins.[citation needed] In parallel, a long period of inquisition began inside the Toulouse walls. The fear of repression forced the leading figures to exile, or to convert themselves. The inquisition lasted nearly 400 years, making Toulouse its capital.[citation needed]
|
46 |
+
|
47 |
+
In 1271, Toulouse was incorporated into the kingdom of France and declared a "royal city".[citation needed] In 1323 the Consistori del Gay Saber was created in Toulouse to preserve the lyric art of the troubadours by organizing a poetry contest; and Toulouse became the centre of Occitan literary culture for the next hundred years. The Consistori del Gay Saber is considered to be the oldest literary society in Europe, at the origin of the most sophisticated treatise on grammar and rhetoric of the Middle Ages, and in 1694 it was transformed into the Royal Academy of the Floral Games (Académie des Jeux Floraux), still active today, by king Louis XIV.
|
48 |
+
|
49 |
+
The 14th century brought a pogrom against Toulouse's Jewish population by Crusaders in 1320,[20] the Black Death in 1348, then the Hundred Years' War. Despite strong immigration, the population lost 10,000 inhabitants in 70 years. By 1405 Toulouse had only 19,000 people.[21]
|
50 |
+
|
51 |
+
The situation improved in the 15th century.[22] Charles VII established the second parliament of France after that of Paris. Reinforcing its place as an administrative center, the city grew richer, participating in the trade of Bordeaux wine with England, as well as cereals and textiles. A major source of income was the production and export of pastel, a blue dye made from woad.[23] The fortune generated by this international trade was at the origin of several of Toulouse's superb Renaissance mansions.
|
52 |
+
|
53 |
+
The Battle of Toulouse (1814) was one of the final battles of the Napoleonic Wars, four days after Napoleon's surrender of the French Empire to the nations of the Sixth Coalition.
|
54 |
+
Toulouse, the regional capital, proved stoutly defended by Marshal Soult.
|
55 |
+
|
56 |
+
The population of the city proper (French: commune) was 479,553 at the January 2017 census, with 1,360,829 inhabitants in the metropolitan area (within the 2010 borders of the metropolitan area), up from 1,187,686 at the January 2007 census (within the same 2010 borders of the metropolitan area).[2][4] Thus, the metropolitan area registered a population growth rate of +1.4% per year between 2007 and 2017, the highest growth rate of any French metropolitan area larger than 500,000 inhabitants, although it is slightly lower than the growth rate registered between the 1999 and 2007 censuses.
|
57 |
+
|
58 |
+
Toulouse is the fourth largest city in France, after Paris, Marseille and Lyon, and the fourth-largest metropolitan area after Paris, Lyon, and Marseille.
|
59 |
+
|
60 |
+
Fueled by booming aerospace and high-tech industries, population growth of +1.49% a year in the metropolitan area in the 1990s (compared with +0.37% for metropolitan France), and a record +1.87% a year in the early 2000s (+0.68% for metropolitan France), which is the highest population growth of any French metropolitan area larger than 500,000 inhabitants, means the Toulouse metropolitan area overtook Lille as the fourth-largest metropolitan area of France at the 2006 census.
|
61 |
+
|
62 |
+
A local Jewish group estimates there are about 2,500 Jewish families in Toulouse.[citation needed] A Muslim association has estimated there are some 35,000 Muslims in town.[24]
|
63 |
+
|
64 |
+
The Community of Agglomeration of Greater Toulouse (Communauté d'agglomération du Grand Toulouse) was created in 2001 to better coordinate transport, infrastructure and economic policies between the city of Toulouse and its immediate independent suburbs. It succeeds a previous district which had been created in 1992 with fewer powers than the current council. It combines the city of Toulouse and 24 independent communes, covering an area of 380 km2 (147 sq mi), totalling a population of 583,229 inhabitants (as of 1999 census), 67% of whom live in the city of Toulouse proper. As of February 2004 estimate, the total population of the Community of Agglomeration of Greater Toulouse was 651,209 inhabitants, 65.5% of whom live in the city of Toulouse. Due to local political feuds, the Community of Agglomeration only hosts 61% of the population of the metropolitan area, the other independent suburbs having refused to join in. Since 2009, the Community of agglomeration has become an urban community (in French: communauté urbaine). This has become a métropole in 2015, spanning 37 communes.[25]
|
65 |
+
|
66 |
+
One of the major political figures in Toulouse was Dominique Baudis, the mayor of Toulouse between 1983 and 2001, member of the centrist UDF.[citation needed] First known as a journalist famous for his coverage of the war in Lebanon, 36-year-old Dominique Baudis succeeded his father Pierre Baudis in 1983 as mayor of Toulouse. (Pierre Baudis was mayor from 1971 to 1983.)
|
67 |
+
|
68 |
+
Baudis tried to strengthen the international role of Toulouse (such as its Airbus operations), as well as revive the cultural heritage of the city. The Occitan cross, flag of Languedoc and symbol of the counts of Toulouse, was chosen as the new flag of the city, instead of the traditional coat of arms of Toulouse (which included the fleur de lis of the French monarchy). Many cultural institutions were created, in order to attract foreign expatriates and emphasise the city's past. For example, monuments dating from the time of the counts of Toulouse were restored, the city's symphonic concert hall (Halle aux Grains) was refurbished, a city theater was built, a Museum of Modern Art was founded, the Bemberg Foundation (European paintings and bronzes from the Renaissance to the 20th century) was established, a huge pop music concert venue (Zénith, the largest in France outside Paris) was built, the space museum and educational park Cité de l'Espace was founded, etc.
|
69 |
+
|
70 |
+
To deal with growth, major housing and transportation projects were launched. Line A of the underground was opened in 1993, and line B opened in 2007. The creation of a system of underground car parking structures in Toulouse city centre was sharply criticised by the Green Party.[26]
|
71 |
+
|
72 |
+
In 2000, Dominique Baudis was at the zenith of his popularity, with approval rates of 85%.[citation needed] He announced that he would not run for a fourth (6-year) term in 2001. He explained that with 3 terms he was already the longest-serving mayor of Toulouse since the French Revolution; he felt that change would be good for the city, and that the number of terms should be limited. He endorsed Philippe Douste-Blazy, then UDF mayor of Lourdes as his successor. Baudis has since been appointed president of the CSA (Conseil supérieur de l'audiovisuel) in Paris, the French equivalent of the American FCC.
|
73 |
+
|
74 |
+
Philippe Douste-Blazy narrowly won in the 2001 elections, which saw the left making its best showing in decades. Douste-Blazy had to deal with a reinvigorated political opposition, as well as with the dramatic explosion of the AZF plant in late 2001.
|
75 |
+
|
76 |
+
In March 2004, he entered the national government, and left Toulouse in the hands of his second-in-command Jean-Luc Moudenc, elected mayor by the municipal council. In March 2008, Moudenc was defeated by the Socialist Party's candidate Pierre Cohen.
|
77 |
+
|
78 |
+
At the next elections in 2014 Moudenc defeated Cohen in a rematch to re-take the job with more than 52% of the votes.
|
79 |
+
|
80 |
+
Toulouse has many interesting churches, but three of them are of remarkable architectural and historical interest.
|
81 |
+
|
82 |
+
Saint-Sernin Basilica, part of the Way of Saint James UNESCO World Heritage Site, is the largest remaining Romanesque church in Europe. With more than two hundred relics (including six apostles), most of them donated by Charlemagne to the sanctuary that preceded the present church, Saint-Sernin makes Toulouse the second city in Europe after Rome for the number of relics. The church was built at the end of the 11th century and at the beginning of the 12th century to welcome the crowds of pilgrims, its double-sided aisles and the ambulatory surrounding the apse make it the archetype of the great pilgrimage church, where pilgrims could make the circuit around the church and were able to stop for meditation and prayer at the apsidal chapels of the transept and the radiating chapels of the choir.
|
83 |
+
|
84 |
+
Cathedral of Saint Stephen is the seat of the Roman Catholic Archdiocese of Toulouse. Its construction, which was mainly done at the beginning and then at the end of the 13th century, reflects the history of this decisive century which saw the city lose its independence to become a French city. The single nave is the very first example of Southern French Gothic, at 19 metres wide it probably was at its completion the widest in Western Europe (1210-1220). The higher choir that adjoins it was built in the Gothic style of northern France shortly after the city became part of the Crown of France in 1271.
|
85 |
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|
86 |
+
The convent of the Jacobins (late 13th century / early 14th century) is considered to be, together with the Albi Cathedral, the pinnacle of Southern French Gothic architecture. Like all Southern French Gothic churches it has a deliberately austere exterior, but it reveals the beauty of its architecture on the inside with an alignment of columns that are said to be the highest in Gothic architecture (28 metres high). The masterpiece of this church is the column that closes the choir (1275-1292), its palm tree shape was a hundred years ahead of the flamboyant gothic fan vaults. Because he thought it was the most beautiful Dominican church in Europe, and perhaps also to compensate Toulouse, the birthplace of the Dominican order, for not having obtained the relics of Saint Dominic kept in Bologna, Pope Urban V made the church of the Jacobins the burial place of the Dominican friar Saint Thomas Aquinas, one of the most famous philosophers and theologians of the Middle Ages.
|
87 |
+
|
88 |
+
The Capitole de Toulouse (mainly 18th century), houses the Hôtel de Ville (city hall) and the Théâtre du Capitole (opera house). It is located on the Place du Capitole, a large 19th century square that has the size of a royal square (place royale). The large neo-classical facade of the 18th century (1750-1760) hides elements from various periods: the Henri IV courtyard of the early 17th century with a remarkable Renaissance portal; a 16th-century tower, called «the keep» (le donjon), which housed the archives of the Capitouls; vast rooms and galleries with walls painted to the glory of the history of Toulouse (late 19th century)...
|
89 |
+
|
90 |
+
Toulouse has also preserved a rich civil architectural heritage from the medieval and Renaissance periods. Forty or so Gothic and Renaissance stair towers still dot the city, mostly hidden in inner courtyards. More than two hundred mansions (called hôtels particuliers) or remains of mansions give an account of the evolution of civil architecture since the 12th century. The most remarkable are those of the Renaissance, a period which constitutes a golden age for Toulouse. Among these are the Hôtel d'Assézat, the Hôtel de Bernuy, the Hôtel du Vieux-Raisin, the Hôtel de Bagis...
|
91 |
+
|
92 |
+
The banks of the Garonne river offer an interesting urban panorama of the city. Red brick dykes from the 18th century enclose the river which is subject to violent floods. The only bridge to have withstood the floods of the past is the Pont-Neuf, it took almost a century to build it as the project was so ambitious (1545-1632). Further downstream, the Bazacle is a ford across the Garonne river, in the 12th century the Bazacle Milling Company was the first recorded European joint-stock company. On the left bank of the river, historically a flood-prone bank, stand two former hospitals whose origins date back to the 12th century: the Hôtel-Dieu Saint-Jacques and the Hôpital de La Grave. This is how the plague victims and other sick people were kept away from the city by the river.
|
93 |
+
|
94 |
+
Built at the end of the 17th century, the Canal du Midi bypasses the city centre and has linked Toulouse to the Mediterranean Sea ever since. Its 240 kilometres were inscribed as a UNESCO World Heritage Site in 1996.
|
95 |
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|
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The Jardin des Plantes is a large park spanning several blocks, including the museum of Natural History, cafés, activities for children and a botanical garden (early 19th century).
|
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|
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The Cité de l'espace (Space City) is a theme park of space exploration.
|
99 |
+
|
100 |
+
Coats of arms of Toulouse: Saint-Sernin church and Comtal castle frame a paschal lamb bearing the Toulouse cross
|
101 |
+
|
102 |
+
Saint-Sernin basilica (11th–13th c.)
|
103 |
+
|
104 |
+
Romanesque tympanum of Saint-Sernin basilica (late 11th c. or early 12th c.)
|
105 |
+
|
106 |
+
Saint Stephen cathedral (13th–17th c.)
|
107 |
+
|
108 |
+
Church of the Jacobins (13th c.)
|
109 |
+
|
110 |
+
Church of the Jacobins "palm tree" vault (13th c.)
|
111 |
+
|
112 |
+
Church of the Jacobins bell tower (13th c.) and cloister (14th c.)
|
113 |
+
|
114 |
+
Romano-gothic house (14th c.)
|
115 |
+
|
116 |
+
Musée des Augustins former convent (14th c.) housing a fine arts museum
|
117 |
+
|
118 |
+
Musée des Augustins cloister (14th c.) with display of gargoyles salvaged from demolished churches
|
119 |
+
|
120 |
+
Church of Notre-Dame du Taur: clocher-mur facade (14th c.)
|
121 |
+
|
122 |
+
Serta tower (15th–16th c.)
|
123 |
+
|
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+
Hôtel Delfau (15th c.)
|
125 |
+
|
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+
Saint-Raymond museum, former college of the university (1523)
|
127 |
+
|
128 |
+
Former tower of the Capitouls (1525)
|
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+
|
130 |
+
Gothic and Renaissance portal of the hôtel de Bernuy (16th c.)
|
131 |
+
|
132 |
+
Renaissance portal of the hôtel d'Assézat (16th c.)
|
133 |
+
|
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+
Renaissance portal of the hôtel de Molinier (16th c.)
|
135 |
+
|
136 |
+
Renaissance portal (16th c.) of a college of the University
|
137 |
+
|
138 |
+
Renaissance Portal of the Dalbade Church (16th c.)
|
139 |
+
|
140 |
+
Renaissance door of the Hôtel Dahus (16th c.)
|
141 |
+
|
142 |
+
Hôtel de Bagis' Renaissance door (16th or 17th c.)
|
143 |
+
|
144 |
+
Renaissance portal of former Capitole at Jardin des Plantes (16th c.)
|
145 |
+
|
146 |
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Renaissance portal of the Capitole in the courtyard (16th-17th c.)
|
147 |
+
|
148 |
+
Renaissance portal of the former Jesuit college (1605)
|
149 |
+
|
150 |
+
Renaissance courtyard of the Hôtel d'Assézat (16th c.)
|
151 |
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|
152 |
+
Renaissance courtyard of the Hôtel de Bernuy (16th c.)
|
153 |
+
|
154 |
+
Tower of the Hôtel de Bernuy (16th c.)
|
155 |
+
|
156 |
+
Tower of the Hôtel de Brucelles (16th c.)
|
157 |
+
|
158 |
+
Hôtel du Vieux-Raisin (16th c.)
|
159 |
+
|
160 |
+
Renaissance courtyard of the Hôtel du Vieux-Raisin (16th c.)
|
161 |
+
|
162 |
+
Pont neuf (16th–17th c.)
|
163 |
+
|
164 |
+
Hôtel Comère (17th c.)
|
165 |
+
|
166 |
+
Hôtel de Resseguier (17th c.)
|
167 |
+
|
168 |
+
Hôtel de Bonfontan (18th c.)
|
169 |
+
|
170 |
+
Hôtel d'Espie (18th c.)
|
171 |
+
|
172 |
+
Capitole – city hall (18th c.)
|
173 |
+
|
174 |
+
The Hall of Illustrious in the Capitole
|
175 |
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|
176 |
+
Capitole square (19th c.)
|
177 |
+
|
178 |
+
Immeuble des Cariatides, terracotta façade by fr:Auguste Virebent (19th c.)
|
179 |
+
|
180 |
+
Lamothe house, terracotta façade (19th c.)
|
181 |
+
|
182 |
+
Halle aux Grains concert hall (19th c.) fr:Halle aux Grains de Toulouse
|
183 |
+
|
184 |
+
Hôtel-Dieu Saint-Jacques former hospital (12th–19th c.)
|
185 |
+
|
186 |
+
La Grave former hospital (12th–19th c.)
|
187 |
+
|
188 |
+
Notre-Dame de la Daurade basilica
|
189 |
+
|
190 |
+
Banks of the Garonne river
|
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Romanesque wall in the park of the Jardin des Plantes
|
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Park of the Grand Rond in central Toulouse
|
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The main industries are aeronautics, space, electronics, information technology and biotechnology. Toulouse hosts the Airbus headquarters and assembly-lines of Airbus A320, A330, A350 and A380. (A320 lines also exist in Hamburg, Germany, Tianjin, China, and Mobile, Alabama, USA.) Airbus has its head office in Blagnac, near Toulouse.[27][28] Airbus's France division has its main office in Toulouse.[28] Toulouse also hosts the headquarters of ATR, Sigfox, one of the two headquarters of Liebherr Aerospace and Groupe Latécoère.
|
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The Concorde supersonic aircraft was also constructed in Toulouse.
|
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|
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Toulouse has the fourth-largest student population in France after Paris, Lyon and Lille with 103,000 students (2012).[29]
|
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|
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The University of Toulouse (Université de Toulouse), established in 1229, is located here (now split into three separate universities). Like the universities in Oxford and Paris, the University of Toulouse was established at a time when Europeans were starting to translate the writings of Arabs of Andalus and Greek philosophers. These writings challenged European ideology—inspiring scientific discoveries and advances in the arts—as society began seeing itself in a new way. These colleges were supported by the Church, in hopes of reconciling Greek philosophy and Christian theology.[citation needed]
|
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|
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Toulouse is also the home of Toulouse Business School (TBS), Toulouse School of Economics (TSE), the Institut supérieur européen de gestion group (ISEG Group), the Institut supérieur européen de formation par l'action (ISEFAC), E-Artsup and several engineering schools:
|
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|
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The most well known high schools in Toulouse are Lycée Pierre-de-Fermat [fr] and Lycée Saint-Sernin.
|
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International schools serving area expatriates are in nearby Colomiers:
|
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|
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+
The main railway station, with regional and national services, is Toulouse-Matabiau.
|
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|
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In addition to an extensive bus system, the Toulouse Metro is a VAL (Véhicule Automatique Léger) metro system made up of driverless (automatic) rubber-tired trains. Line A runs for 12.5 km (7.8 mi) from Balma-Gramont in the north-east to Basso Cambo in the south-west. Line B, which opened in June 2007, serves 20 stations north to south and intersects line A at Jean Jaurès.
|
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|
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+
Line C has existed since line A was completed. It is not VAL but an urban railway line operated by SNCF. It connects to line A at Arènes. Two other stations located in Toulouse are also served by line C. Lardenne, formerly named "Gare des Capelles", changed its name in September 2003 when line C opened.[30] Le TOEC station opened on 1 September 2003 with the creation of line C, allowing an urban train service in Toulouse and close western suburbs.[30]
|
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Similarly, Line D runs south from Toulouse Matabiau to Muret.
|
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|
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The tramway line T1 (operating since December 2010), runs from Beauzelle to Toulouse passing through Blagnac. All urban bus, metro and tram services are operated by Tisséo. Tramway line T2 is a branch of the first line serving notably Toulouse Blagnac airport.
|
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In 2007, a citywide bicycle rental scheme called VélôToulouse was introduced,[31] with bicycles available from automated stations for a daily, weekly, monthly or yearly subscription.
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Airports include:
|
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|
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The Canal du Midi begins in Toulouse and runs up to Sète.
|
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The average amount of time people spend commuting with public transit in Toulouse, for example to and from work, on a weekday is 44 min. 9.1% of public transit riders, ride for more than 2 hours every day. The average amount of time people wait at a stop or station for public transit is 9 min, while 10.4% of riders wait for over 20 minutes on average every day. The average distance people usually ride in a single trip with public transit is 7 km, while 8% travel for over 12 km in a single direction.[32]
|
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|
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Toulouse is the home of Bonhoure Radio Tower, a 61-metre high lattice tower used for FM and TV transmission.[33] In 2001 a large (100 km) optical fiber (symmetric 360Gbit/s) network named
|
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+
Infrastructure Métropolitaine de Télécommunications was deployed around the city and suburbs.[34]
|
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+
|
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The Théâtre du Capitole is the home of opera and ballet; there has been a theatre on the site since 1736.[35] The Orchestre National du Capitole, long associated with Michel Plasson, plays at the Halle aux Grains.[36]
|
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|
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Le Château d'Eau,[37] an old 19th-century water-tower, was converted as a gallery in 1974 by Jean Dieuzaide, a French photographer from Toulouse and is now one of the oldest public places dedicated to photography in the world. Toulouse's art museums include the Musée des Augustins, the Musée des Abattoirs, the Musée Georges Labit, and the Fondation Bemberg in the Hôtel d'Assézat. The Musée Saint-Raymond is devoted to Antiquity and the Muséum de Toulouse to natural history.
|
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|
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+
Toulouse is the seat of the Académie des Jeux Floraux, the equivalent of the French Academy for the Occitan-speaking regions of southern France, making Toulouse the unofficial capital of Occitan culture. The traditional Cross of Toulouse (from Provence, under the name of cross of Provence), emblem of the County of Toulouse and commonly widespread around all of Occitania during the Middle Ages is the symbol of the city and of the newly founded Midi-Pyrénées région, as well as a popular Occitan symbol.
|
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|
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The city's gastronomic specialties include the Saucisse de Toulouse, a type of sausage, cassoulet Toulousain, a bean and pork stew, and garbure, a cabbage soup with poultry. Also, foie gras, the liver of an overfed duck or goose, is a delicacy commonly made in the Midi-Pyrénées.[38]
|
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+
|
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+
Stade Toulousain of the Top 14 is one of the most successful rugby union clubs in all of Europe, having been crowned European champions four times and French champions twenty times.[39][40]
|
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|
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+
Toulouse Olympique represents the city in rugby league, playing in the English/European 2nd tier Championship from 2017.
|
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+
|
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+
The city also has a professional football team, Toulouse FC, who play in Ligue 2, the second division of football in France, and who won the 1957 Coupe de France Final. The club play at the Stadium Municipal, which was a venue during the 1998 FIFA World Cup and 2007 Rugby World Cup, as well as hosting important club rugby games and several Rugby League World Cups. Toulouse was also a host of EuroBasket 1999.
|
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|
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|
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|
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+
Several notable Toulousains have been scientists, such as Jean Dausset, 1980 winner of the Nobel Prize in Physiology or Medicine; 17th-century mathematician Pierre de Fermat, who spent his life in Toulouse, where he wrote Fermat's Last Theorem and was a lawyer in the city's Parlement; Paul Sabatier, 1912 winner of the Nobel Prize in Chemistry; Albert Fert,[41] 2007 winner of the Nobel Prize in Physics who grew up in Toulouse where he attended the Lycée Pierre-de-Fermat [fr] and Jean Tirole, owner of the 2014 Nobel Prize in Economic Sciences, chairman and founder of the Toulouse School of Economics along with Jean-Jacques Laffont.
|
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|
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+
Musically, Toulouse is one of the two controversial, disputed birthplaces of Carlos Gardel (the other being Tacuarembo, Uruguay), probably the most prominent figure in the history of the tango. The city's most renowned songwriter is Claude Nougaro. The composer and organist Georges Guiraud (1868–1928) was born in Toulouse.
|
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|
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+
Concerning arts, Toulouse is the birthplace of Impressionist painter Henri Martin as well as sculptors Alexandre Falguière and Antonin Mercié. Moreover, Jean-Auguste-Dominique Ingres and Antoine Bourdelle were trained at the Toulouse fine arts school. Post Impressionist painter Henri de Toulouse-Lautrec's (1864-1901) father was Count Alphonse Charles de Toulouse-Lautrec Monfa (1838-1913) and was part of an aristocratic family of Counts of Toulouse, Odet de Foix, Vimcomte de Lautrec and the Viscounts of Montfa. French graffiti artist Cyril Kongo was born in Toulouse in 1969.
|
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+
|
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+
Raymond IV, Count of Toulouse, one of the leaders of the First Crusade, was born in Toulouse. Aviation pioneer Clément Ader and psychiatrist Jean-Étienne Dominique Esquirol were also natives.
|
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+
|
254 |
+
Toulouse is twinned with:[42]
|
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+
|
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+
Toulouse also has accords of cooperation with the following towns:[43]
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en/5735.html.txt
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Alpine tundra is a type of natural region or biome that does not contain trees because it is at high elevation. As the latitude of a location approaches the poles, the threshold elevation for alpine tundra gets lower until it reaches sea level, and alpine tundra merges with polar tundra.
|
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+
|
3 |
+
The high elevation causes an adverse climate, which is too cold and windy to support tree growth. Alpine tundra transitions to sub-alpine forests below the tree line; stunted forests occurring at the forest-tundra ecotone are known as Krummholz. With increasing elevation it ends at the snow line where snow and ice persist through summer.
|
4 |
+
|
5 |
+
Alpine tundra occurs in mountains worldwide. The flora of the alpine tundra is characterized by dwarf shrubs close to the ground. The cold climate of the alpine tundra is caused by adiabatic cooling of air, and is similar to polar climate.
|
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+
|
7 |
+
Alpine tundra occurs at high enough altitude at any latitude. Portions of montane grasslands and shrublands ecoregions worldwide include alpine tundra. Large regions of alpine tundra occur in the North American Cordillera, the Alps and Pyrenees of Europe, the Himalaya and Karakoram of Asia, the Andes of South America, and the Eastern Rift mountains of Africa.[1]
|
8 |
+
|
9 |
+
Alpine tundra occupies high-mountain summits, slopes, and ridges above timberline. Aspect plays a role as well; the treeline often occurs at higher elevations on warmer equator-facing slopes. Because the alpine zone is present only on mountains, much of the landscape is rugged and broken, with rocky, snowcapped peaks, cliffs, and talus slopes, but also contains areas of gently rolling to almost flat topography.[2]
|
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+
|
11 |
+
Averaging over many locations and local microclimates, the treeline rises 75 metres (245 ft) when moving 1 degree south from 70 to 50°N, and 130 metres (430 ft) per degree from 50 to 30°N. Between 30°N and 20°S, the treeline is roughly constant, between 3,500 and 4,000 metres (11,500 and 13,100 ft).[3]
|
12 |
+
|
13 |
+
Alpine climate is the average weather (climate) for the alpine tundra. The climate becomes colder at high elevations—this characteristic is described by the lapse rate of air: air tends to get colder as it rises, since it expands. The dry adiabatic lapse rate is 10 °C per km (5.5 °F per 1000 ft) of elevation or altitude. Therefore, moving up 100 metres (330 ft) on a mountain is roughly equivalent to moving 80 kilometers (45 miles or 0.75° of latitude) towards the pole.[4] This relationship is only approximate, however, since local factors such as proximity to oceans can drastically modify the climate.
|
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+
|
15 |
+
Typical high-elevation growing seasons range from 45 to 90 days, with average summer temperatures near 10 °C (50 °F). Growing season temperatures frequently fall below freezing, and frost occurs throughout the growing season in many areas. Precipitation occurs mainly as winter snow, but soil water availability is highly variable with season, location, and topography. For example, snowfields commonly accumulate on the lee sides of ridges while ridgelines may remain nearly snow free due to redistribution by wind. Some alpine habitats may be up to 70% snow free in winter. High winds are common in alpine ecosystems, and can cause significant soil erosion and be physically and physiologically detrimental to plants. Also, wind coupled with high solar radiation can promote extremely high rates of evaporation and transpiration.[2]
|
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+
|
17 |
+
There have been several attempts at quantifying what constitutes an alpine climate.
|
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+
|
19 |
+
Climatologist Wladimir Köppen demonstrated a relationship between the Arctic and Antarctic tree lines and the 10 °C summer isotherm; i.e., places where the average temperature in the warmest calendar month of the year is below 10 °C cannot support forests. See Köppen climate classification for more information.
|
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+
|
21 |
+
Otto Nordenskjöld theorized that winter conditions also play a role: His formula is W = 9 − 0.1 C, where W is the average temperature in the warmest month and C the average of the coldest month, both in degrees Celsius (this would mean, for example, that if a particular location had an average temperature of −20 °C (−4 °F) in its coldest month, the warmest month would need to average 11 °C (52 °F) or higher for trees to be able to survive there).
|
22 |
+
|
23 |
+
In 1947, Holdridge improved on these schemes, by defining biotemperature: the mean annual temperature, where all temperatures below 0 °C are treated as 0 °C (because it makes no difference to plant life, being dormant). If the mean biotemperature is between 1.5 and 3 °C (34.7 and 37.4 °F),[5] Holdridge quantifies the climate as alpine.
|
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+
|
25 |
+
Because the habitat of alpine vegetation is subject to intense radiation, wind, cold, snow, and ice, it grows close to the ground and consists mainly of perennial grasses, sedges, and forbs. Perennial herbs (including grasses, sedges, and low woody or semi-woody shrubs) dominate the alpine landscape; they have much more root and rhizome biomass than that of shoots, leaves, and flowers. The roots and rhizomes not only function in water and nutrient absorption but also play a very important role in over-winter carbohydrate storage. Annual plants are rare in this ecosystem and usually are only a few inches tall, with weak root systems.[2] Other common plant life-forms include prostrate shrubs, graminoids forming tussocks, cushion plants, and cryptogams, such as bryophytes and lichens.[6]
|
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+
|
27 |
+
Relative to lower elevation areas in the same region, alpine regions have a high rate of endemism and a high diversity of plant species. This taxonomic diversity can be attributed to geographical isolation, climate changes, glaciation, microhabitat differentiation, and different histories of migration or evolution or both.[6] These phenomena contribute to plant diversity by introducing new flora and favoring adaptations, both of new species and the dispersal of pre-existing species.[6]
|
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+
|
29 |
+
Plants have adapted to the harsh alpine environment. Cushion plants, looking like ground-hugging clumps of moss, escape the strong winds blowing a few inches above them. Many flowering plants of the alpine tundra have dense hairs on stems and leaves to provide wind protection or red-colored pigments capable of converting the sun's light rays into heat. Some plants take two or more years to form flower buds, which survive the winter below the surface and then open and produce fruit with seeds in the few weeks of summer.[7]
|
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+
|
31 |
+
Alpine areas are unique because of the severity and complexity of their environmental conditions. Very small changes in topography – as small as 1 foot (0.3 m) or less – may mean the difference between a windswept area or an area of snow accumulation, changing the potential productivity and plant community drastically. Between these extremes of drought versus saturation, several intermediate environments may exist all within a few yards of each other, depending on topography, substrate, and climate. Alpine vegetation generally occurs in a mosaic of small patches with widely differing environmental conditions. Vegetation types vary from cushion and rosette plants on the ridges and in the rock crannies; to herbaceous and grassy vegetation along the slopes; dwarf shrubs with grasses and forbs below the melting snowdrifts; and sedges, grasses, low shrubs, and mosses in the bogs and along the brooks.[2]
|
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+
|
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+
Alpine meadows form where sediments from the weathering of rocks has produced soils well-developed enough to support grasses and sedges. Non-flowering lichens cling to rocks and soil. Their enclosed algal cells can photosynthesize at any temperature above 0 °C (32 °F), and the outer fungal layers can absorb more than their own weight in water. The adaptations for survival of drying winds and cold may make tundra vegetation seem very hardy, but in some respects the tundra is very fragile. Repeated footsteps often destroy tundra plants, allowing exposed soil to blow away; recovery may take hundreds of years.[7]
|
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+
|
35 |
+
Because alpine tundra is located in various widely separated regions of the Earth, there is no animal species common to all areas of alpine tundra. some animals of alpine tundra environments include the kea, marmot, mountain goat, Bighorn sheep, chinchilla, Himalayan tahr, yak and pika.
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1 |
+
A tower is a tall structure, taller than it is wide, often by a significant factor. Towers are distinguished from masts by their lack of guy-wires and are therefore, along with tall buildings, self-supporting structures.
|
2 |
+
|
3 |
+
Towers are specifically distinguished from "buildings" in that they are not built to be habitable but to serve other functions. The principal function is the use of their height to enable various functions to be achieved including: visibility of other features attached to the tower such as clock towers; as part of a larger structure or device to increase the visibility of the surroundings for defensive purposes as in a fortified building such as a castle; as a structure for observation for leisure purposes; or as a structure for telecommunication purposes. Towers can be stand alone structures or be supported by adjacent buildings or can be a feature on top of a large structure or building.
|
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+
|
5 |
+
Old English torr is from Latin turris via Old French tor. The Latin term together with Greek τύρσις was loaned from a pre-Indo-European Mediterranean language, connected with the Illyrian toponym
|
6 |
+
Βου-δοργίς. With the Lydian toponyms Τύρρα, Τύρσα, it has been connected with the ethnonym Τυρρήνιοι as well as with Tusci (from *Turs-ci), the Greek and Latin names for the Etruscans (Kretschmer Glotta 22, 110ff.)
|
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+
|
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+
Towers have been used by mankind since prehistoric times. The oldest known may be the circular stone tower in walls of Neolithic Jericho (8000 BC). Some of the earliest towers were ziggurats, which existed in Sumerian architecture since the 4th millennium BC. The most famous ziggurats include the Sumerian Ziggurat of Ur, built the 3rd millennium BC, and the Etemenanki, one of the most famous examples of Babylonian architecture. The latter was built in Babylon during the 2nd millennium BC and was considered the tallest tower of the ancient world.
|
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+
|
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+
Some of the earliest surviving examples are the broch structures in northern Scotland, which are conical towerhouses. These and other examples from Phoenician and Roman cultures emphasised the use of a tower in fortification and sentinel roles. For example, the name of the Moroccan city of Mogador, founded in the first millennium BC, is derived from the Phoenician word for watchtower ('migdol'). The Romans utilised octagonal towers[1] as elements of Diocletian's Palace in Croatia, which monument dates to approximately 300 AD, while the Servian Walls (4th century BC) and the Aurelian Walls (3rd century AD) featured square ones. The Chinese used towers as integrated elements of the Great Wall of China in 210 BC during the Qin Dynasty. Towers were also an important element of castles.
|
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|
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+
Other well known towers include the Leaning Tower of Pisa in Pisa, Italy built from 1173 until 1372 and the Two Towers in Bologna, Italy built from 1109 until 1119. The Himalayan Towers are stone towers located chiefly in Tibet built approximately 14th to 15th century.
|
13 |
+
[2]
|
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+
|
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+
Up to a certain height, a tower can be made with the supporting structure with parallel sides. However, above a certain height, the compressive load of the material is exceeded and the tower will fail. This can be avoided if the tower's support structure tapers up the building.
|
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+
|
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+
A second limit is that of buckling—the structure requires sufficient stiffness to avoid breaking under the loads it faces, especially those due to winds. Many very tall towers have their support structures at the periphery of the building, which greatly increases the overall stiffness.
|
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+
|
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+
A third limit is dynamic; a tower is subject to varying winds, vortex shedding, seismic disturbances etc. These are often dealt with through a combination of simple strength and stiffness, as well as in some cases tuned mass dampers to damp out movements. Varying or tapering the outer aspect of the tower with height avoids vibrations due to vortex shedding occurring along the entire building simultaneously.
|
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+
|
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+
Although not correctly defined as towers, many modern high-rise buildings (in particular skyscraper) have 'tower' in their name or are colloquially called 'towers'. Skyscrapers are more properly classified as 'buildings'. In the United Kingdom, tall domestic buildings are referred to as tower blocks. In the United States, the original World Trade Center had the nickname the Twin Towers, a name shared with the Petronas Twin Towers in Kuala Lumpur. In addition some of the structures listed below do not follow the strict criteria used at List of tallest towers.
|
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+
|
23 |
+
The tower throughout history has provided its users with an advantage in surveying defensive positions and obtaining a better view of the surrounding areas, including battlefields. They were constructed on defensive walls, or rolled near a target (see siege tower). Today, strategic-use towers are still used at prisons, military camps, and defensive perimeters.
|
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+
|
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+
By using gravity to move objects or substances downward, a tower can be used to store items or liquids like a storage silo or a water tower, or aim an object into the earth such as a drilling tower. Ski-jump ramps use the same idea, and in the absence of a natural mountain slope or hill, can be human-made.
|
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+
|
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+
In history, simple towers like lighthouses, bell towers, clock towers, signal towers and minarets were used to communicate information over greater distances. In more recent years, radio masts and cell phone towers facilitate communication by expanding the range of the transmitter. The CN Tower in Toronto, Ontario, Canada was built as a communications tower, with the capability to act as both a transmitter and repeater. Its design also incorporated features to make it a tourist attraction, including the world's highest observation deck at 147 storeys.[citation needed]
|
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+
|
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+
Towers can also be used to support bridges, and can reach heights that rival some of the tallest buildings above-water. Their use is most prevalent in suspension bridges and cable-stayed bridges. The use of the pylon, a simple tower structure, has also helped to build railroad bridges, mass-transit systems, and harbors.
|
30 |
+
|
31 |
+
Control towers are used to give visibility to help direct aviation traffic.
|
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+
|
33 |
+
The term "tower" is also sometimes used to refer to firefighting equipment with an extremely tall ladder designed for use in firefighting/rescue operations involving high-rise buildings.
|
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+
|
35 |
+
The Galata Tower, also called Christea Turris (the Tower of Christ in Latin), was built in 1348 A.D. by the Genoese colony in Constantinople.
|
36 |
+
|
37 |
+
Typical modern water tower in Carmel, Indiana, United States
|
38 |
+
|
39 |
+
Watchtower in the Israeli West Bank barrier
|
40 |
+
|
41 |
+
The only bridge being a member of the World Federation of Great Towers: Most SNP, Bratislava, Slovakia
|
42 |
+
|
43 |
+
Towers form Ingushetia
|
44 |
+
|
45 |
+
Lifeguard tower, Asprovalta (Greece)
|
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+
|
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+
The towers of wind turbines support the rotors.
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Peat (/piːt/), also known as turf (/tɜːrf/), is an accumulation of partially decayed vegetation or organic matter. It is unique to natural areas called peatlands, bogs, mires, moors, or muskegs.[1][2] The peatland ecosystem is the most efficient carbon sink on the planet,[2][3] because peatland plants capture CO2 naturally released from the peat, maintaining an equilibrium. In natural peatlands, the "annual rate of biomass production is greater than the rate of decomposition", but it takes "thousands of years for peatlands to develop the deposits of 1.5 to 2.3 m [4.9 to 7.5 ft], which is the average depth of the boreal [northern] peatlands".[2] Sphagnum moss, also called peat moss, is one of the most common components in peat, although many other plants can contribute. The biological features of Sphagnum mosses act to create a habitat aiding peat formation, a phenomenon termed 'habitat manipulation'.[4] Soils consisting primarily of peat are known as histosols. Peat forms in wetland conditions, where flooding or stagnant water obstructs the flow of oxygen from the atmosphere, slowing the rate of decomposition.[5]
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Peatlands, particularly bogs, are the primary source of peat,[6]
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although less-common wetlands including fens, pocosins, and peat swamp forests also deposit peat. Landscapes covered in peat are home to specific kinds of plants including Sphagnum moss, ericaceous shrubs, and sedges (see bog for more information on this aspect of peat). Because organic matter accumulates over thousands of years, peat deposits provide records of past vegetation and climate by preserving plant remains, such as pollen. This allows the reconstruction of past environments and study changes in land use.[7]
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Peat is harvested as a source of fuel in certain parts of the world. By volume, there are about 4 trillion cubic metres (5.2 trillion cubic yards) of peat in the world, covering a total of around 2% of the global land area (about 3 million square kilometres or 1.2 million square miles), containing about 8 billion terajoules of energy.[8] Over time, the formation of peat is often the first step in the geological formation of fossil fuels such as coal, particularly low-grade coal such as lignite.[9]
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The Intergovernmental Panel on Climate Change (IPCC) classifies peat as neither a fossil fuel nor a renewable fuel, and notes that its emission characteristics are similar to fossil fuels.[10] At 106 g CO2/MJ,[11] the carbon dioxide emission intensity of peat is higher than that of coal (at 94.6 g CO2/MJ) and natural gas (at 56.1) (IPCC). Peat is not a renewable source of energy, due to its extraction rate in industrialized countries far exceeding its slow regrowth rate of 1 mm per year,[12] and as it is also reported that peat regrowth takes place only in 30–40% of peatlands.[13] Because of this, the UNFCCC,[14][better source needed] and another organization affiliated with the United Nations classified peat as a fossil fuel.[15][better source needed] Many in the peat industry describe it as a "slowly renewable" fuel.[16][better source needed]
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Peat forms when plant material does not fully decay in acidic and anaerobic conditions. It is composed mainly of wetland vegetation: principally bog plants including mosses, sedges, and shrubs. As it accumulates, the peat holds water. This slowly creates wetter conditions that allow the area of wetland to expand. Peatland features can include ponds, ridges, and raised bogs.[6] The characteristics of some bog plants actively promote bog formation. For example, Sphagnum mosses actively secrete tannins, which preserve organic material. Sphagnum also have special water retaining cells, known as Hyaline cells, which can release water ensuring the bogland remains constantly wet which helps promote peat production.[17]
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Most modern peat bogs formed 12,000 years ago in high latitudes after the glaciers retreated at the end of the last ice age.[18] Peat usually accumulates slowly at the rate of about a millimetre per year.[12] The estimated carbon content is 547 GtC (Northern Peatlands), 50 GtC (Tropical Peatlands) and 15 GtC (South America).[19]
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Peat material is either fibric, hemic, or sapric. Fibric peats are the least decomposed and consist of intact fibre. Hemic peats are partially decomposed and sapric are the most decomposed.[20]
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Phragmites peat are composed of reed grass, Phragmites australis, and other grasses. It is denser than many other types of peat.
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Engineers may describe a soil as peat which has a relatively high percentage of organic material. This soil is problematic because it exhibits poor consolidation properties – it cannot be easily compacted to serve as a stable foundation to support loads, such as roads or buildings.
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In a widely cited article, Joosten and Clarke (2002) defined peatlands or mires (which they claim are the same)[Notes 1][1] as,
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...the most widespread of all wetland types in the world, representing 50 to 70% of global wetlands. They cover over 4 million square kilometres [1.5 million square miles] or 3% of the land and freshwater surface of the planet. In these ecosystems are found one third of the world's soil carbon and 10% of global freshwater resources. These ecosystems are characterized by the unique ability to accumulate and store dead organic matter from Sphagnum and many other non-moss species, as peat, under conditions of almost permanent water saturation. Peatlands are adapted to the extreme conditions of high water and low oxygen content, of toxic elements and low availability of plant nutrients. Their water chemistry varies from alkaline to acidic. Peatlands occur on all continents, from the tropical to boreal and Arctic zones from sea level to high alpine conditions.
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A more recent estimate from an improved global peatland map, PEATMAP,[21] based on a meta-analysis of geospatial information at global, regional and national levels puts global coverage slightly higher than earlier peatland inventories at 4.23 million square kilometres (1.63 million square miles) approximately 2.84% of the world land area.[22] In Europe, peatlands extend to about 515,000 km2 (199,000 sq mi).[23] About 60% of the world's wetlands are made of peat.
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Peat deposits are found in many places around the world, including northern Europe and North America. The North American peat deposits are principally found in Canada and the Northern United States. Some of the world's largest peatlands include the West Siberian Lowland, the Hudson Bay Lowlands, and the Mackenzie River Valley.[24]
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There is less peat in the Southern Hemisphere, in part because there is less land. That said, the vast Magellanic Moorland in South America (Southern Patagonia/Tierra del Fuego) is an extensive peat-dominated landscape.[24] Peat can be found in New Zealand, Kerguelen, the Falkland Islands, and Indonesia (Kalimantan [Sungai Putri, Danau Siawan, Sungai Tolak], Rasau Jaya [West Kalimantan], and Sumatra). Indonesia has more tropical peatlands and mangrove forests than any other nation on earth, but Indonesia is losing wetlands by 100,000 hectares (250,000 acres) per year.[25]
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About 7% of all peatlands have been exploited for agriculture and forestry.[26] Under proper conditions, peat will turn into lignite coal over geologic periods of time.
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Under pressure, water is forced out of peat, which is soft and easily compressed, and once dry can be used as fuel. In many countries, including Ireland and Scotland, peat has traditionally been used for cooking and domestic heating, and peat is stacked to dry in rural areas. It remains harvested on an industrial scale for this purpose in countries such as Ireland and Finland. Its insulating properties make it useful in industry.
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Although humans have many uses for peat, it presents severe problems at times. Wet or dry, it can be a major fire hazard. Peat fires may burn for great lengths of time, or smoulder underground and reignite after winter if an oxygen source is present. Because they are easily compressed under minimal weight, peat deposits pose major difficulties to builders of structures, roads, and railways. When the West Highland railway line was built across Rannoch Moor in western Scotland, its builders had to float the tracks on a multi-thousand-ton mattress of tree roots, brushwood, earth and ash.
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Peatland can also be an important source of drinking water providing nearly 4% of all potable water stored in reservoirs. In the UK, more than 28 million people use drinking water from water sources which rely on peatlands.[27]
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In the Bronze and Iron Ages, people used peat bogs for rituals to nature gods and spirits.[28] Bodies of the victims of such sacrifices have been found in various places in Scotland, England, Ireland, and especially northern Germany and Denmark. They are almost perfectly preserved by the tanning properties of the acidic water (see Tollund Man for one of the most famous examples of a bog body). Peat wetlands also used to have a degree of metallurgical importance in the Early Middle Ages, being the primary source of bog iron used to create swords and armour[citation needed]. Many peat swamps along the coast of Malaysia serve as a natural means of flood mitigation, with any overflow being absorbed by the peat, provided forests are still present to prevent peat fires[citation needed].
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The climate, geography, and environment of Finland favours bog and peat bog formation. Thus, peat is available in considerable quantities. This abundant resource (often mixed with wood at an average of 2.6%) is burned to produce heat and electricity. Peat provides around 6.2% of Finland's annual energy production, second only to Ireland.[29] The contribution of peat to greenhouse gas emissions of Finland can exceed 10 million metric tonnes of carbon dioxide per year – equal to the total emissions of all passenger-car traffic in Finland.
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Finland classifies peat as a slowly renewing biomass fuel.[30][better source needed] Peat producers in Finland often claim that peat is a special form of biofuel because of the relatively fast retake rate of released CO2 if the bog is not forested for the following 100 years.[citation needed] Also, agricultural and forestry-drained peat bogs actively release more CO2 annually than is released in peat energy production in Finland. The average regrowth rate of a single peat bog, however, is indeed slow, from 1,000 up to 5,000 years. Furthermore, it is a common practice to forest used peat bogs instead of giving them a chance to renew. This leads to lower levels of CO2 storage than the original peat bog.
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At 106 g CO2/MJ,[31] the carbon dioxide emissions of peat are higher than those of coal (at 94.6 g CO2/MJ) and natural gas (at 56.1). According to one study, increasing the average amount of wood in the fuel mixture from the current 2.6% to 12.5% would take the emissions down to 93 g CO2/MJ. That said, little effort is being made to achieve this.[32]
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The International Mire Conservation Group (IMCG) in 2006 urged the local and national governments of Finland to protect and conserve the remaining pristine peatland ecosystems. This includes the cessation of drainage and peat extraction in intact mire sites and the abandoning of current and planned groundwater extraction that may affect these sites. A proposal for a Finnish peatland management strategy was presented to the government in 2011, after a lengthy consultation phase.[33]
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In Ireland, large-scale domestic and industrial peat usage is widespread.[citation needed] In the Republic of Ireland, a state-owned company called Bord na Móna is responsible for managing peat extraction. It processes the extracted peat into milled peat which is used in power stations[citation needed] and sells processed peat fuel in the form of peat briquettes which are used for domestic heating. These are oblong bars of densely compressed, dried, and shredded peat. Peat moss is a manufactured product for use in garden cultivation. Turf (dried out peat sods) is also commonly used in rural areas.
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Use of peat for energy production was prominent in the Soviet Union, especially in 1965. In 1929, over 40% of the Soviet Union's electric energy came from peat, which dropped to 1% by 1980.
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In the 1960s, larger sections of swamps and bogs in Western Russia were drained for agricultural and mining purposes.[34] Plans are underway to increase peat output and increase peat's contribution to Russian energy generation.[35] There is concern about the environmental impact as peat fields are flammable, drainage degrades ecosystems, and burning of peat releases carbon dioxide.[35] Due to 2010 forest and peat fires, the Russian government is under heavy pressure to finance re-flooding of the previously drained bogs around Moscow. The initial costs for the programme are estimated to be about 20 to 25 billion rubles; that is close to 500 million euros (540 million USD).
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Currently, Russia is responsible for 17% of the world's peat production and 20% of that peat (1.5 million tons) is used for energy purposes.[36][37][better source needed] Shatura Power Station in Moscow Oblast and Kirov Power Station in Kirov Oblast are the two largest peat power stations in the world.
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2500 years ago, the area now named the Netherlands was largely covered with peat. Drainage, causing compaction and oxidation and excavation have reduced peatlands (>40 cm peat) to about 2,733 km2 (1,055 sq mi)[38] or 10% of the land area, mostly used as meadows. Drainage and excavation have lowered the surface of the peatlands. In the west of the country dikes and mills were built, creating polders so that dwelling and economic activities could continue below sea level, the first polder probably in 1533[39] and the last one in 1968.
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Harvesting of peat could continue in suitable locations as the lower peat layers below current sea level became exposed. This peat was deposited before the rise of the sea level in the Holocene. As a result, approximate 26% of its area[40] and 21% of its population[41] of the Netherlands are presently below sea level. The deepest point is in the Zuidplaspolder, 6.76 m (22.2 ft) below average sea level.
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In 2018, the Netherlands imported 2,252 million kg of peat (5.63 million m3 (400 kg/m3 dry peat[42]): 54.2% from Germany, 9.5% from Estonia, 7.8% from Latvia, 7.2% from Ireland, 7.1% from Switzerland, 6.6% from Lithuania and 4.9% from Belgium); 1,185 million kg was exported.[43] Most is used in gardening and greenhouse horticulture.
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After oil shale peat is the second most mined natural resource in Estonia.[44] The peat production sector has a yearly revenue of around 100 million euros and it is mostly export-oriented. Peat is extracted from around 14 thousand hectars.[45]
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The mountains of the Himalaya and Tibetan Plateau contains pockets of high-altitude wetlands.[46] Khecheopalri is one of the Sikkim's most famous and diverse peatlands in the eastern Indian territory of Sikkim, which includes 682 species representing 5 kingdoms, 196 families, and 453 genera.[47]
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The extraction of peat from the Somerset Levels began during the Roman times and has been carried out since the Levels were first drained.[48] On Dartmoor, there were several commercial distillation plants formed and run by the British Patent Naphtha Company in 1844. These produced naphtha on a commercial scale from the high-quality local peat.[49]
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Fenn's, Whixall and Bettisfield Mosses is an element of a post-Ice Age peat bog that straddles the England–Wales border and contains many rare plant and animal species due to the acidic environment created by the peat.[50] Only lightly hand-dug, it is now a national nature reserve and is being restored to its natural condition.
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Industrial extraction of peat occurred at the Thorne Moor site, outside Doncaster near to the village of Hatfield. Government policy incentivised commercial removal to peat for agricultural use. This caused much destruction of the area during the 1980s. The removal of the peat resulted in later flooding further downstream at Goole due to the loss of water retaining peatlands.[51] Recently regeneration of peatland has occurred as part of the Thorne Moors project organised by Yorkshire Wildlife Trust.
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In Northern Ireland, there is small-scale domestic turf cutting in rural areas, but areas of bogs have been diminished because of changes in agriculture. In response, afforestation has seen the establishment of tentative steps towards conservation such as Peatlands Park, County Armagh which is an Area of Special Scientific Interest.[52]
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Some Scotch whisky distilleries, such as those on Islay, use peat fires to dry malted barley. The drying process takes about 30 hours. This gives the whiskies a distinctive smoky flavour, often called "peatiness".[53]
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The peatiness, or degree of peat flavour, of a whisky, is calculated in ppm of phenol. Normal Highland whiskies have a peat level of up to 30 ppm, and the whiskies on Islay usually have up to 50 ppm. In rare types like the Octomore,[54] the whisky can have more than 100 ppm of phenol. Scotch Ales can also use peat roasted malt, imparting a similar smoked flavor.
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Canada is the world biggest exporter of peat.[55]
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In Sweden, farmers use dried peat to absorb excrement from cattle that are wintered indoors. The most important property of peat is retaining moisture in container soil when it is dry while preventing the excess of water from killing roots when it is wet. Peat can store nutrients although it is not fertile itself – it is polyelectrolytic with a high ion-exchange capacity due to its oxidized lignin. Peat is discouraged as a soil amendment by the Royal Botanic Gardens, Kew, England, since 2003.[56] While bark-based peat-free potting soil mixes are on the rise, particularly in the U.K., peat remains an important raw material for horticulture in some other European countries, Canada, as well as parts of the United States. However, it is recommended to treat peat thermally, e.g., through soil steaming in order to kill pests and reactivate nutrients.[citation needed]
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Peat is sometimes used in freshwater aquaria. It is seen most commonly in soft water or blackwater river systems such as those mimicking the Amazon River basin. In addition to being soft in texture and therefore suitable for demersal (bottom-dwelling) species such as Corydoras catfish, peat is reported to have a number of other beneficial functions in freshwater aquaria. It softens water by acting as an ion exchanger; it also contains substances that are beneficial for plants, and for the reproductive health of fishes. Peat can prevent algae growth and kill microorganisms. Peat often stains the water yellow or brown due to the leaching of tannins.[57]
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Peat is used in water filtration, such as for the treatment of septic tank effluent and for urban runoff.
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Peat is widely used in balneotherapy (the use of bathing to treat disease). Many traditional spa treatments include peat as part of peloids. Such health treatments have an enduring tradition in European countries including Poland, the Czech Republic, Germany, and Austria. Some of these old spas date back to the 18th century and are still active today. The most common types of peat application in balneotherapy are peat muds, poultices, and suspension baths.[58]
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Authors Rydin and Jeglum in Biology of Habitats described the concept of peat archives, a phrase coined by influential peatland scientist Harry Godwin in 1981.[59][60][61]
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In a peat profile there is a fossilized record of changes over time in the vegetation, pollen, spores, animals (from microscopic to the giant elk), and archaeological remains that have been deposited in place, as well as pollen, spores and particles brought in by wind and weather. These remains are collectively termed the peat archives.
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In Quaternary Palaeoecology, first published in 1980, Birks and Birks described how paleoecological studies "of peat can be used to reveal what plant communities were present (locally and regionally), what time period each community occupied, how environmental conditions changed, and how the environment affected the ecosystem in that time and place."[60][62]
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Scientists continue to compare modern mercury (Hg) accumulation rates in bogs with historical natural-archives records in peat bogs and lake sediments to estimate the potential human impacts on the biogeochemical cycle of mercury, for example.[63] Over the years, different dating models and technologies for measuring date sediments and peat profiles accumulated over the last 100–150 years, have been used, including the widely used vertical distribution of 210Pb, the inductively coupled plasma mass spectrometry (ICP-SMS),[64] and more recently the initial penetration (IP).[65] In some cases, naturally mummified human bodies, often called "bog bodies", such as the Tollund Man in Denmark, having been discovered in 1950 and dated to have lived during the 4th century BC after being mistaken for a recent murder victim, have been discovered and exhumed for scientific purposes; prior to that, another "bog body", the Elling Woman, had been discovered in 1938 in the same bog about 60 m (2000 ft) from the Tollund Man. She is believed to have lived during the late 3rd century BC and was ultimately a ritual sacrifice.
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Peat "hags" are a form of erosion that occurs at the sides of gullies that cut into the peat or, sometimes, in isolation.[66] Hags may result when flowing water cuts downwards into the peat and when fire or overgrazing exposes the peat surface. Once the peat is exposed in these ways, it is prone to further erosion by wind, water, and livestock. The result is overhanging vegetation and peat. Hags are too steep and unstable for vegetation to establish itself, so they continue to erode unless restorative action is taken.[66]
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The distinctive ecological conditions of peat wetlands provide a habitat for distinctive fauna and flora. For example, whooping cranes nest in North American peatlands, while Siberian cranes nest in the West Siberian peatland. Such habitats also have many species of wild orchids and carnivorous plants. It takes centuries for a peat bog to recover from disturbance. (For more on biological communities, see wetland, bog or fen.)
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The world's largest peat bog is located in Western Siberia. It is the size of France and Germany combined. Recent studies show that it is thawing for the first time in 11,000 years. As the permafrost melts, it could release billions of tonnes of methane gas into the atmosphere. The world's peatlands are thought to contain 180 to 455 billion metric tonnes of sequestered carbon, and they release into the atmosphere 20 to 45 million metric tons of methane annually. The peatlands' contribution to long-term fluctuations in these atmospheric gases has been a matter of considerable debate.[67]
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One of the characteristics for peat is the bioaccumulations of metals often concentrated in the peat. Accumulated mercury is of significant environmental concern.[68]
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Large areas of organic wetland (peat) soils are currently drained for agriculture, forestry, and peat extraction. This process is taking place all over the world. This not only destroys the habitat of many species but also heavily fuels climate change.[69] As a result of peat drainage, the organic carbon – which built over thousands of years and is normally underwater – is suddenly exposed to the air. It decomposes and turns into carbon dioxide (CO2), which is released into the atmosphere.[70] The global CO2 emissions from drained peatlands have increased from 1,058 Mton in 1990 to 1,298 Mton in 2008 (a 20% increase). This increase has particularly taken place in developing countries, of which Indonesia, China, Malaysia, and Papua New Guinea are the fastest-growing top emitters. This estimate excludes emissions from peat fires (conservative estimates amount to at least 4,000 Mton/CO2-eq./yr for south-east Asia). With 174 Mton/CO2-eq./yr the EU is after Indonesia (500 Mton) and before Russia (161 Mton) the world's second-largest emitter of drainage-related peatland CO2 (excl. extracted peat and fires). Total CO2 emissions from the worldwide 500,000 km2 of degraded peatland may exceed 2.0 Gtons (including emissions from peat fires) which is almost 6% of all global carbon emissions.[71]
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Peat has a high carbon content and can burn under low moisture conditions. Once ignited by the presence of a heat source (e.g., a wildfire penetrating the subsurface), it smoulders. These smouldering fires can burn undetected for very long periods of time (months, years, and even centuries) propagating in a creeping fashion through the underground peat layer.
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Despite the damage that the burning of raw peat can cause, bogs are naturally subject to wildfires and depend on the wildfires to keep woody competition from lowering the water table and shading out many bog plants. Several families of plants including the carnivorous Sarracenia (trumpet pitcher), Dionaea (Venus flytrap), Utricularia (bladderworts) and non-carnivorous plants such as the sandhills lily, toothache grass and many species of orchid are now threatened and in some cases endangered from the combined forces of human drainage, negligence, and absence of fire.[72][73][74]
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The recent burning of peat bogs in Indonesia, with their large and deep growths containing more than 50 billion tonnes of carbon, has contributed to increases in world carbon dioxide levels.[75] Peat deposits in Southeast Asia could be destroyed by 2040.[76][77]
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It is estimated that in 1997, peat and forest fires in Indonesia released between 0.81 and 2.57 Gt of carbon; equivalent to 13–40 percent of the amount released by global fossil fuel burning, and greater than the carbon uptake of the world's biosphere. These fires may be responsible for the acceleration in the increase in carbon dioxide levels since 1998.[78][79] More than 100 peat fires in Kalimantan and East Sumatra have continued to burn since 1997; each year, these peat fires ignite new forest fires above the ground.
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In North America, peat fires can occur during severe droughts throughout their occurrence, from boreal forests in Canada to swamps and fens in the subtropical southern Florida Everglades.[80] Once a fire has burnt through the area, hollows in the peat are burnt out, and hummocks are desiccated but can contribute to Sphagnum recolonization.[81]
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In the summer of 2010, an unusually high heat wave of up to 40 °C (104 °F) ignited large deposits of peat in Central Russia, burning thousands of houses and covering the capital of Moscow with a toxic smoke blanket. The situation remained critical until the end of August 2010.[82][83]
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In June 2019, despite some forest fire prevention methods being put in place, peat fires[84] in the arctic emitted 50 megatonnes of CO2, which is equal to Sweden's total annual emissions.[85] The peat fires are linked to climate change, as they are much more likely to occur nowadays due to this effect.[86][87]
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In June 2002, the United Nations Development Programme launched the Wetlands Ecosystem and Tropical Peat Swamp Forest Rehabilitation Project. This project was targeted to last for 5 years, and brings together the efforts of various non-government organisations.
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In November 2002, the International Peatland (formerly Peat) Society (IPS) and the International Mire Conservation Group (IMCG) published guidelines on the "Wise Use of Mires and Peatlands – Backgrounds and Principles including a framework for decision-making". The aim of this publication is to develop mechanisms that can balance the conflicting demands on the global peatland heritage, to ensure its wise use to meet the needs of humankind.
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In June 2008, the IPS published the book Peatlands and Climate Change, summarising the currently available knowledge on the topic. In 2010, IPS presented a "Strategy for Responsible Peatland Management", which can be applied worldwide for decision-making.
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The Tour de France (French pronunciation: [tuʁ də fʁɑ̃s]) is an annual men's multiple stage bicycle race primarily held in France,[1] while also occasionally passing through nearby countries. Like the other Grand Tours (the Giro d'Italia and the Vuelta a España), it consists of 21 day-long stages over the course of 23 days. It has been described as "the world’s most prestigious and most difficult bicycle race."[2]
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The race was first organized in 1903 to increase sales for the newspaper L'Auto[3] and is currently run by the Amaury Sport Organisation.[4] The race has been held annually since its first edition in 1903 except when it was stopped for the two World Wars.[5] As the Tour gained prominence and popularity, the race was lengthened and its reach began to extend around the globe. Participation expanded from a primarily French field, as riders from all over the world began to participate in the race each year. The Tour is a UCI World Tour event, which means that the teams that compete in the race are mostly UCI WorldTeams, with the exception of the teams that the organizers invite.[6][7] It has become "the world's biggest annual sporting event."[8] A women's Tour de France was held under different names between 1984 and 2009. Since 2014, the La Course by Le Tour de France is held for women in a one- or two-day format during the men's race.
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Traditionally, the race is held primarily in the month of July. While the route changes each year, the format of the race stays the same with the appearance of time trials,[1] the passage through the mountain chains of the Pyrenees and the Alps, and the finish on the Champs-Élysées in Paris.[9][10] The modern editions of the Tour de France consist of 21 day-long segments (stages) over a 23-day period and cover around 3,500 kilometres (2,200 mi).[11] The race alternates between clockwise and counterclockwise circuits of France.[12]
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There are usually between 20 and 22 teams, with eight riders in each. All of the stages are timed to the finish; the riders' times are compounded with their previous stage times.[1] The rider with the lowest cumulative finishing times is the leader of the race and wears the yellow jersey.[1][13] While the general classification garners the most attention, there are other contests held within the Tour: the points classification for the sprinters, the mountains classification for the climbers, young rider classification for riders under the age of 26, and the team classification, based on the first three finishers from each team on each stage.[1] Achieving a stage win also provides prestige, often accomplished by a team's sprint specialist or a rider taking part in a breakaway.
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The Tour de France was created in 1903. The roots of the Tour de France trace back to the emergence of two rival sports newspapers in the country. On one hand was Le Vélo, the first and the largest daily sports newspaper in France[14] which sold 80,000 copies a day.[15] On the other was L'Auto, which had been set-up by journalists and business-people including Comte Jules-Albert de Dion, Adolphe Clément, and Édouard Michelin in 1899. The rival paper emerged following disagreements over the Dreyfus Affair, a cause célèbre (in which de Dion was implicated) that divided France at the end of the 19th century over the innocence of Alfred Dreyfus, a French army officer convicted—though later exonerated—of selling military secrets to the Germans.[n 1] The new newspaper appointed Henri Desgrange as the editor. He was a prominent cyclist and owner with Victor Goddet of the velodrome at the Parc des Princes.[16] De Dion knew him through his cycling reputation, through the books and cycling articles that he had written, and through press articles he had written for the Clément tyre company.
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L'Auto was not the success its backers wanted. Stagnating sales lower than the rival it was intended to surpass led to a crisis meeting on 20 November 1902 on the middle floor of L'Auto's office at 10 Rue du Faubourg Montmartre, Paris. The last to speak was the most junior there, the chief cycling journalist, a 26-year-old named Géo Lefèvre.[17] Desgrange had poached him from Giffard's paper.[18] Lefèvre suggested a six-day race of the sort popular on the track but all around France.[18] Long-distance cycle races were a popular means to sell more newspapers, but nothing of the length that Lefèvre suggested had been attempted.[n 2] If it succeeded, it would help L'Auto match its rival and perhaps put it out of business.[19] It could, as Desgrange said, "nail Giffard's beak shut."[20][21]
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Desgrange and Lefèvre discussed it after lunch. Desgrange was doubtful but the paper's financial director, Victor Goddet, was enthusiastic. He handed Desgrange the keys to the company safe and said: "Take whatever you need."[22] L'Auto announced the race on 19 January 1903.
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The first Tour de France was staged in 1903. The plan was a five-stage race from 31 May to 5 July, starting in Paris and stopping in Lyon, Marseille, Bordeaux, and Nantes before returning to Paris. Toulouse was added later to break the long haul across southern France from the Mediterranean to the Atlantic. Stages would go through the night and finish next afternoon, with rest days before riders set off again. But this proved too daunting and the costs too great for most[24] and only 15 competitors had entered. Desgrange had never been wholly convinced and he came close to dropping the idea.[25] Instead, he cut the length to 19 days, changed the dates to 1 to 19 July, and offered a daily allowance to those who averaged at least 20 kilometres per hour (12 mph) on all the stages,[26] equivalent to what a rider would have expected to earn each day had he worked in a factory.[27] He also cut the entry fee from 20 to 10 francs and set the first prize at 12,000 francs and the prize for each day's winner at 3,000 francs. The winner would thereby win six times what most workers earned in a year.[27] That attracted between 60 and 80 entrants – the higher number may have included serious inquiries and some who dropped out – among them not just professionals but amateurs, some unemployed, and some simply adventurous.[17]
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Desgrange seems not to have forgotten the Dreyfus Affair that launched his race and raised the passions of his backers. He announced his new race on 1 July 1903 by citing the writer Émile Zola, whose open letter J'Accuse…! led to Dreyfus's acquittal, establishing the florid style he used henceforth.[28][29][30]
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The first Tour de France started almost outside the Café Reveil-Matin at the junction of the Melun and Corbeil roads in the village of Montgeron. It was waved away by the starter, Georges Abran, at 3:16 p.m. on 1 July 1903. L'Auto hadn't featured the race on its front page that morning.[n 3][31][32]
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Among the competitors were the eventual winner, Maurice Garin, his well-built rival Hippolyte Aucouturier, the German favourite Josef Fischer, and a collection of adventurers including one competing as "Samson".[n 4]
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Many riders dropped out of the race after completing the initial stages as the physical effort the tour required was just too much. Only a mere 24 entrants remained at the end of the fourth stage.[33] The race finished on the edge of Paris at Ville d'Avray, outside the Restaurant du Père Auto, before a ceremonial ride into Paris and several laps of the Parc des Princes. Garin dominated the race, winning the first and last two stages, at 25.68 kilometres per hour (15.96 mph). The last rider, Millocheau, finished 64h 47m 22s behind him.
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L'Auto's mission was accomplished as throughout the race circulation of the publication doubled, making the race something much larger than Desgrange had ever hoped for.
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Such was the passion that the first Tour created in spectators and riders that Desgrange said the 1904 Tour de France would be the last. Cheating was rife and riders were beaten up by rival fans as they neared the top of the col de la République, sometimes called the col du Grand Bois, outside St-Étienne.[34] The leading riders, including the winner Maurice Garin, were disqualified, though it took the Union Vélocipèdique de France until 30 November to make the decision.[35] McGann says the UVF waited so long "...well aware of the passions aroused by the race."[36] Desgrange's opinion of the fighting and cheating showed in the headline of his reaction in L'Auto: THE END.[37] Desgrange's despair did not last. By the following spring he was planning another Tour, longer at 11 stages rather than 6 – and this time all in daylight to make any cheating more obvious.[38] Stages in 1905 began between 3 am and 7:30 am.[39] The race captured the imagination. L'Auto's circulation rose from 25,000 to 65,000;[17] by 1908 it was a quarter of a million. The Tour returned after its suspension during World War One and continued to grow, with circulation of L'Auto reaching 500,000 by 1923. The record claimed by Desgrange was 854,000 during the 1933 Tour.[40] Le Vélo, meanwhile, went out of business in 1904.
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Desgrange and his Tour invented bicycle stage racing.[41] Desgrange experimented with different ways of judging the winner. Initially he used total accumulated time (as used in the modern Tour de France) [29] but from 1906 to 1912 by points for placings each day.[39][n 5] Desgrange saw problems in judging both by time and by points. By time, a rider coping with a mechanical problem—which the rules insisted he repair alone—could lose so much time that it cost him the race. Equally, riders could finish so separated that time gained or lost on one or two days could decide the whole race. Judging the race by points removed over-influential time differences but discouraged competitors from riding hard. It made no difference whether they finished fast or slow or separated by seconds or hours, so they were inclined to ride together at a relaxed pace until close to the line, only then disputing the final placings that would give them points. [39]
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The format changed over time. The Tour originally ran around the perimeter of France. Cycling was an endurance sport and the organisers realised the sales they would achieve by creating supermen of the competitors. Night riding was dropped after the second Tour in 1904, when there had been persistent cheating when judges could not see riders.[42] That reduced the daily and overall distance but the emphasis remained on endurance. Desgrange said his ideal race would be so hard that only one rider would make it to Paris.[43] The first mountain stages (in the Pyrenees) appeared in 1910. Early tours had long multi-day stages, with the format settling on 15 stages from 1910 until 1924. After this, stages were gradually shortened, such that by 1936 there were as many as three stages in a single day.[44] Desgrange initially preferred to see the Tour as a race of individuals. The first Tours were open to whoever wanted to compete. Most riders were in teams that looked after them. The private entrants were called touriste-routiers – tourists of the road – from 1923[45] and were allowed to take part provided they make no demands on the organisers. Some of the Tour's most colourful characters have been touriste-routiers. One finished each day's race and then performed acrobatic tricks in the street to raise the price of a hotel. Until 1925 Desgrange forbade team members from pacing each other.[46] The 1927 and 1928 Tours, however, consisted mainly of team time-trials, an unsuccessful experiment which sought to avoid a proliferation of sprint finishes on flat stages. [47] Desgrange was a traditionalist with equipment. Until 1930 he demanded that riders mend their bicycles without help and that they use the same bicycle from start to end. Exchanging a damaged bicycle for another was allowed only in 1923.[45] Desgrange stood against the use of multiple gears and for many years insisted riders use wooden rims, fearing the heat of braking while coming down mountains would melt the glue that held the tires on metal rims (they were finally allowed in 1937).[48]
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By the end of the 1920s, Desgrange believed he could not beat what he believed were the underhand tactics of bike factories.[49][50] When the Alcyon team contrived to get Maurice De Waele to win even though he was sick,[51] he said "My race has been won by a corpse".[51][52] In 1930 Desgrange again attempted to take control of the Tour from teams, insisting competitors enter in national teams rather than trade teams and that competitors ride plain yellow bicycles that he would provide, without a maker's name.[51] There was no place for individuals in the post-1930s teams and so Desgrange created regional teams, generally from France, to take in riders who would not otherwise have qualified. The original touriste-routiers mostly disappeared but some were absorbed into regional teams. In 1936 Desgrange had a prostate operation. At the time, two operations were needed; the Tour de France was due to fall between them. Desgrange persuaded his surgeon to let him follow the race.[53] The second day proved too much and, in a fever at Charleville, he retired to his château at Beauvallon. Desgrange died at home on the Mediterranean coast on 16 August 1940.[53] The race was taken over by his deputy, Jacques Goddet.[54] The Tour was again disrupted by War after 1939, and did not return until 1947.
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In 1944, L'Auto was closed – its doors nailed shut – and its belongings, including the Tour, sequestrated by the state for publishing articles too close to the Germans.[55] Rights to the Tour were therefore owned by the government. Jacques Goddet was allowed to publish another daily sports paper, L'Équipe, but there was a rival candidate to run the Tour: a consortium of Sports and Miroir Sprint. Each organised a candidate race. L'Équipe and Le Parisien Libéré had La Course du Tour de France[56] and Sports and Miroir Sprint had La Ronde de France. Both were five stages, the longest the government would allow because of shortages.[57] L'Équipe's race was better organised and appealed more to the public because it featured national teams that had been successful before the war, when French cycling was at a high. L'Équipe was given the right to organise the 1947 Tour de France.[53] However, L'Équipe's finances were never sound and Goddet accepted an advance by Émilion Amaury, who had supported his bid to run the post-war Tour.[53] Amaury was a newspaper magnate whose condition was that his sports editor, Félix Lévitan should join Goddet for the Tour.[53] The two worked together, Goddet running the sporting side and Lévitan the financial.
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On the Tour's return, the format of the race settled on between 20–25 stages. Most stages would last one day but the scheduling of 'split' stages continued well in to the 1980s. 1953 saw the introduction of the Green Jersey 'Points' competition. National teams contested the Tour until 1961.[58] The teams were of different sizes. Some nations had more than one team and some were mixed in with others to make up the number. National teams caught the public imagination but had a snag: that riders might normally have been in rival trade teams the rest of the season. The loyalty of riders was sometimes questionable, within and between teams. Sponsors were always unhappy about releasing their riders into anonymity for the biggest race of the year, as riders in national teams wore the colours of their country and a small cloth panel on their chest that named the team for which they normally rode. The situation became critical at the start of the 1960s. Sales of bicycles had fallen and bicycle factories were closing.[59] There was a risk, the trade said, that the industry would die if factories were not allowed the publicity of the Tour de France. The Tour returned to trade teams in 1962.[58] In the same year, Émilion Amaury, owner of le Parisien Libéré, became financially involved in the Tour. He made Félix Lévitan co-organizer of the Tour, and it was decided that Levitan would focus on the financial issues, and Jacques Goddet on the sporting issues.[60] The Tour de France was meant for professional cyclists, but in 1961 the organisation started the Tour de l'Avenir the amateur version.[61]
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Doping had become a problem culminating in the death of Tom Simpson in 1967, after which riders went on strike, [62][63] though the organisers suspected sponsors provoked them. The Union Cycliste Internationale introduced limits to daily and overall distances, imposed rest days and tests were introduced for riders. It was then impossible to follow the frontiers, and the Tour increasingly zig-zagged across the country, sometimes with unconnected days' races linked by train, while still maintaining some sort of loop. The Tour returned to national teams for 1967 and 1968[64] as "an experiment".[65] The Tour returned to trade teams in 1969[66] with a suggestion that national teams could come back every few years, but this has not happened since.
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In the early 1970s the race was dominated by Eddy Merckx, who won the General Classification five times, the Mountains Classification twice, the Points Classification three times and a record 34 stages.[67] Merckx's dominating style earned him the nickname "The Cannibal". In 1969 he already had a commanding lead when he launched a solo attack which none of the other elite riders could answer, resulting in a winning margin of nearly eighteen minutes. In 1973 he did not win because he did not enter the Tour and his reign as champ only came to an end when he finished 2nd to Bernard Thevenet in 1975.
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During this era race director Felix Lévitan began to recruit additional sponsors, sometimes accepting prizes in kind if he could not get cash. In 1975 the polka-dot jersey was introduced for the winner of the Mountains Classification.[68][69] This same year Levitan also introduced the finish of the Tour at the Avenue des Champs-Élysées. Since then this stage has been largely ceremonial and is generally only contested as a prestigious sprinters' stage. (See 'Notable Stages' below for examples of non-ceremonial finishes to this stage) Occasionally a rider will be given the honor of leading the rest of the peloton onto the circuit finish in their final Tour as was the case for Jens Voigt and Sylvain Chavanel among others.
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The late 1970s into the early 1980s the Tour was dominated by Frenchman Bernard Hinault who would become the third rider to win five times. Hinault was defeated by Joop Zoetemelk in 1980 when he withdrew, and by his own teammate Greg LeMond in 1986 but he was in contention during both of these Tours. Only once in his Tour de France career was he soundly defeated and this was by Laurent Fignon in 1984. The 1987 edition, was more uncertain than past editions as previous winners Hinault and Zoetemelk had retired, LeMond was absent and Fignon was suffering from a lingering injury. As such the race was highly competitive and the lead changed hands eight times before Stephen Roche won. When Roche won the World Championship later in the season he became only the second rider (after Merckx) to win cycling's Triple Crown which meant winning the Giro, the Tour and the World road race championship in the same year.
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Levitan helped drive an internationalization of the Tour de France, and cycling in general.[68] Roche was the first winner from Ireland, but in the years leading up to his victory cyclists from numerous other countries began joining the ranks of the peloton. In 1982 Sean Kelly of Ireland (points) and Phil Anderson of Australia (young rider) became the first winners of any Tour classifications from outside cycling's Continental Europe heartlands, while Lévitan was influential in facilitating the participation in the 1983 Tour by amateur riders from the Eastern Bloc and Colombia.[68] In 1984, for the first time, the Société du Tour de France organized the Tour de France Féminin, a version for women.[n 6] It was run in the same weeks as the men's version, and won by Marianne Martin.[70] Greg LeMond of the US became the first non-European winner in the 1986 race.
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While the global awareness and popularity of the Tour grew during this time, its finances became stretched.[71] Goddet and Lévitan continued to clash over the running of the race.[71] Lévitan launched the Tour of America, as a precursor to his plans to take the Tour de France to the US.[71] The Tour of America lost a lot of money, and it appeared to have been cross-financed by the Tour de France.[53] In the years before 1987, Lévitan's position had always been protected by Émilien Amaury, the then owner of ASO, but recently, Émilien Amaury had retired and his son Philippe Amaury was now responsible. When Lévitan arrived at his office on 17 March 1987, he found that his doors were locked and he was fired. The organisation of the 1987 Tour de France was taken over by Jean-François Naquet-Radiguet.[72] He was not successful in acquiring more funds, and was fired within one year.[73]
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Months before the start of the 1988 Tour, director Jean-François Naquet-Radiguet was replaced by Xavier Louy.[74] In 1988 the Tour was organised by Jean-Pierre Courcol, the director of L'Équipe, then in 1989 by Jean-Pierre Carenso and then by Jean-Marie Leblanc, who in 1989 had been race director. The former television presenter Christian Prudhomme—he commentated on the Tour among other events—replaced Leblanc in 2007, having been assistant director for three years. In 1993 ownership of L'Équipe moved to the Amaury Group, which formed Amaury Sport Organisation (ASO) to oversee its sports operations, although the Tour itself is operated by its subsidiary the Société du Tour de France. [75]
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From 1988 onward was arguably the beginning of what can be referred to as the dope-era, as a new drug which drug tests were not able to detect began being used known as erythropoietin (EPO). Pedro Delgado won the 1988 Tour de France by a considerable margin and in 1989 and 1990 Lemond returned from injury and won back to back Tours with the 1989 edition still standing as the closest two-way battle in TDF history with Lemond claiming an 8-second victory on the final time trial to best Laurent Fignon. The early 1990s was dominated by Spaniard Miguel Indurain who became such an exceptional time-trialist that it didn't even matter many top level riders were experimenting with EPO. He won the time trials by such dominating margins that virtually nobody could compete with him and as a result he became the first rider to win five Tours in a row. The influx of more international riders continued through this period as in 1996 and 1997 the race was won for the first time by a rider from Denmark in Bjarne Riis, and Germany in Jan Ullrich. During the 1998 Tour de France a doping scandal known as the Festina Affair shook the sport to its core when it became apparent that there was systematic doping going on in the sport. Numerous riders and a handful of teams were either thrown out of the race, or left of their own free will and in the end Marco Pantani survived to win his lone Tour in a reduced main field. The 1999 Tour de France was billed as the ‘Tour of Renewal’ as the sport tried to clean up its image following the doping fiasco of the previous year. Initially it seemed to be a Cinderella type story when cancer survivor Lance Armstrong stole the show on Sestriere and kept on riding to the first of his astonishing seven consecutive Tour de France victories, however 1999 was just the beginning of the doping problem getting much, much worse. Following Armstrong's retirement in 2005 the 2006 edition saw his former teammate Floyd Landis finally get the chance he worked so hard for with a stunning and improbable solo breakaway on Stage 17 in which he set himself up to win the Tour in the final time trial, which he then did. Not long after the Tour was over however, Landis was accused of doping and had his Tour win revoked.[76]
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Over the next few years a new star in Alberto Contador came onto the scene,[77] but during the 2007 edition a veteran, committed Danish rider Michael Rasmussen was in the Maillot Jaune late in the Tour in position to win when his own team sacked him for a possible doping infraction;[78] this allowed the rising star Contador to ride mistake free for the remaining stages to win his first. 2008 saw a Tour where so many riders were doping that when it went ten days without a single doping incident it became news.[79] It was during this Tour that a UCI official was quoted as saying, "These guys are crazy, the sooner they start learning, the better."[80] Roger Legeay, a Directeur Sportif for one of the teams noted how riders were secretly and anonymously buying doping products on the internet. Like Greg LeMond at the beginning of the EPO era, 2008 winner Carlos Sastre was a rider who went his entire career without a single doping incident and between approximately 1994 and 2011 this was the only Tour to have a winner with a clear biological passport.[81] 2009 saw the return of Lance Armstrong and strangely, after Contador was able to defeat his teammate, the Danish National Anthem was mistakenly played. No Danish rider was in contention in 2009 and Rasmussen, the only Danish rider capable of winning the Tour during this era was not even in the race. Another rider absent was Floyd Landis, who had asked Armstrong to get him back on a team to ride the Tour once more but Armstrong refused because Landis was a convicted doper. Landis joined OUCH, an American continental team and not long after this initiated contact with USADA to discuss Armstrong.
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In 2011 Cadel Evans would become the first Australian to win the Tour after coming up just short several times in the previous few editions.[82] Very early in his career while making the transition from mountain biking to pro cycling Evans met with Armstrong's doctor Michele Ferrari one time, but never again had professional contact with him.[83]
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The 2012 Tour de France would be won by the first British rider to ever win the Tour in Bradley Wiggins while finishing on the podium just behind him was Chris Froome, who along with Contador, would become the next big stars to attempt to contest the giants of Anquetil, Merckx, Hinault, Indurain and Armstrong. Overshadowing the entire sport at this time however, was the Lance Armstrong doping case, which finally revealed much of the truth about doping in cycling.[84] As a result, the UCI decided that each of Armstrong's seven wins would be revoked. This decision cleared the names of many people, including lesser known riders, reporters, team medical staff and even the wife of a rider who had their reputations tarnished or had been forced from the sport by challenging the Armstrong machine. Much of this only became possible after Floyd Landis came forward to USADA. Also around this time an investigation by the French government into doping in cycling revealed that way back during the 1998 Tour, close to 90% of the riders who were tested, retroactively tested positive for EPO.[85] The end result of these doping scandals being that in the case of Landis in 2006, and Contador in 2010 new winners were declared in Oscar Pereiro and Andy Schleck respectively, however in the case of the seven Tours revoked from Armstrong there was no alternate winner named, as much of Armstrong's competition was just as guilty as he was and the sport has been trying to set the right example for the future generation of riders. The generation from the mid 2010s and beyond seems to be competing on a level playing field without having to make the decision so many riders of the previous generation had to make; which was to give in and start doping, or give up on their dreams.
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In the local towns and cities that the Tour visits for stage starts and finishes it is quite the spectacle that usually shuts these towns down for the day resulting in a very festive atmosphere and these events usually require months of planning and preparation. ASO employs around 70 people full-time, in an office facing but not connected to L'Équipe in the Issy-les-Moulineaux area of outer western Paris. That number expands to about 220 during the race itself, not including 500 contractors employed to move barriers, erect stages, signpost the route and other work.[86] ASO now also operate several other major bike races throughout the year.
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The 2020 Tour was postponed to commence on 29 August, following the French government's extension of a ban on mass gatherings after the worldwide COVID-19 outbreak.[87] This was the first time since the end of World War II that the Tour De France was not held in the month of July.[88]
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The oldest and main competition in the Tour de France is known as the "general classification", for which the yellow jersey is awarded: the winner of this is said to have won the race.[89] A few riders from each team aim to win overall but there are three further competitions to draw riders of all specialties: points, mountains, and a classification for young riders with general classification aspirations.[89] The leader of each of the aforementioned classifications wears a distinctive jersey, with riders leading multiple classifications wearing the jersey of the most prestigious that he leads.[89] In addition to these four classifications, there are several minor and discontinued classifications that are competed for during the race.[89]
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The oldest and most sought after classification in the Tour de France is the general classification.[89][90] All of the stages are timed to the finish.[90] The riders' times are compounded with their previous stage times; so the rider with the lowest aggregate time is the leader of the race.[89][90] The leader is determined after each stage's conclusion: he gains the privilege to wear the yellow jersey, presented on a podium in the stage's finishing town, for the next stage. If a rider is leading more than one classification that awards a jersey, he wears the yellow one, since the general classification is the most important one in the race.[13] Between 1905 and 1912 inclusive, in response to concerns about rider cheating in the 1904 race, the general classification was awarded according to a point-based system based on their placings in each stage, and the rider with the lowest total of points after the Tour's conclusion was the winner.[90]
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The leader in the first Tour de France was awarded a green armband.[17] The yellow jersey (The color yellow was chosen as the magazine that created the Tour, L'Auto, printed its newspapers on yellow paper), was added to the race in the 1919 edition and it has since become a symbol of the Tour de France.[89] The first rider to wear the yellow jersey was Eugène Christophe. Riders usually try to make the extra effort to keep the jersey for as long as possible in order to get more publicity for the team and its sponsors. Eddy Merckx has worn the yellow jersey for 96 stages, which is more than any other rider in the history of the Tour de France. Four riders have won the general classification five times in their career: Jacques Anquetil, Eddy Merckx, Bernard Hinault, and Miguel Indurain.
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The mountains classification is the second oldest jersey awarding classification in the Tour de France. The mountains classification was added to the Tour de France in the 1933 edition and was first won by Vicente Trueba.[89][91] Prizes for the classification were first awarded in 1934.[91] During stages of the race containing climbs, points are awarded to the first riders to reach the top of each categorized climb, with points available for up to the first 10 riders, depending on the classification of the climb. Climbs are classified according to the steepness and length of that particular hill, with more points available for harder climbs. The classification was preceded by the meilleur grimpeur (English: best climber) which was awarded by the organising newspaper l'Auto to a cyclist who completed each race.
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The classification awarded no jersey to the leader until the 1975 Tour de France, when the organizers decided to award a distinctive white jersey with red dots to the leader.[89][91] The climbers' jersey is worn by the rider who, at the start of each stage, has the largest number of climbing points.[90] If a rider leads two or more of classifications, the climbers' jersey is worn by the rider in second, or third, place in that contest. At the end of the Tour, the rider holding the most climbing points wins the classification. Some riders may race with the aim of winning this particular competition, while others who gain points early on may shift their focus to the classification during the race. The Tour has five categories for ranking the mountains the race covers. The scale ranges from category 4, the easiest, to hors catégorie, the hardest. During his career Richard Virenque won the mountains classification a record seven times.
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The point distribution for the mountains in the 2019 event was:[92]
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The points classification is the third oldest of the currently awarded jersey classifications.[89] It was introduced in the 1953 Tour de France and was first won by Fritz Schär. The classification was added to draw the participation of the sprinters as well as celebrate the 50th anniversary of the Tour. Points are given to the first 15 riders to finish a stage, with an additional set of points given to the first 15 riders to cross a pre-determined 'sprint' point during the route of each stage. The point classification leader green jersey is worn by the rider who at the start of each stage, has the greatest number of points.[90]
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In the first years, the cyclist received penalty points for not finishing with a high place, so the cyclist with the fewest points was awarded the green jersey. From 1959 on, the system was changed so the cyclists were awarded points for high place finishes (with first place getting the most points, and lower placings getting successively fewer points), so the cyclist with the most points was awarded the green jersey. The number of points awarded varies depending on the type of stage, with flat stages awarding the most points at the finish and time trials and high mountain stages awarding the fewest points at the finish.[90] This increases the likelihood of a sprinter winning the points classification, though other riders can be competitive for the classification if they have a sufficient number of high-place finishes.
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The winner of the classification is the rider with the most points at the end of the Tour. In case of a tie, the leader is determined by the number of stage wins, then the number of intermediate sprint victories, and finally, the rider's standing in the general classification. The classification has been won a record seven times by Peter Sagan.[89][93]
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The first year the points classification was used it was sponsored by La Belle Jardinière, a lawn mower producer, and the jersey was made green. In 1968 the jersey was changed to red to please the sponsor.[94] However, the color was changed back the following year. For almost 25 years the classification was sponsored by Pari Mutuel Urbain, a state betting company.[91][95] However they announced in November 2014 that they would not be continuing their sponsorship, and in March 2015 it was revealed that the green jersey would now be sponsored by Czech car manufacturer Škoda.[95]
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As of 2015, the points awarded are:[96]
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The leader of the classification is determined the same way as the general classification, with the riders' times being added up after each stage and the eligible rider with lowest aggregate time is dubbed the leader. The Young rider classification is restricted to the riders that are under the age of 26. Originally the classification was restricted to neo-professionals – riders that are in their first three years of professional racing – until 1983. In 1983, the organizers made it so that only first time riders were eligible for the classification. In 1987, the organizers changed the rules of the classification to what they are today.
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This classification was added to the Tour de France in the 1975 edition, with Francesco Moser being the first to win the classification after placing seventh overall. The Tour de France awards a white jersey to the leader of the classification, although this was not done between 1989 and 2000.[89] Five riders have won both the young rider classification and the general classification in the same year: Laurent Fignon (1983), Jan Ullrich (1997), Alberto Contador (2007), Andy Schleck (2010), and Egan Bernal (2019). Two riders have won the young rider classification three times in their respective careers: Jan Ullrich and Andy Schleck.
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As of 2015 Jersey sponsor is Optician company Krys,[97] replacing Škoda who moved to the Green Jersey.
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The prix de la combativité goes to the rider who most animates the day, usually by trying to break clear of the field. The most combative rider wears a number printed white-on-red instead of black-on-white next day. An award goes to the most aggressive rider throughout the Tour. Already in 1908 a sort of combativity award was offered, when Sports Populaires and L'Education Physique created Le Prix du Courage, 100 francs and a silver gilt medal for "the rider having finished the course, even if unplaced, who is particularly distinguished for the energy he has used."[98][99] The modern competition started in 1958.[98][100] In 1959, a Super Combativity award for the most combative cyclist of the Tour was awarded. It was initially not awarded every year, but since 1981 it has been given annually. Eddy Merckx has the most wins (4) for the overall award.
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The team classification is assessed by adding the time of each team's best three riders each day. The competition does not have its own jersey but since 2006 the leading team has worn numbers printed black-on-yellow. Until 1990, the leading team would wear yellow caps. As of 2012, the riders of the leading team wear yellow helmets.[101] During the era of national teams, France and Belgium won 10 times each.[91] From 1973 up to 1988, there was also a team classification based on points (stage classification); members of the leading team would wear green caps.
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There has been an intermediate sprints classification, which from 1984 awarded a red jersey[102] for points awarded to the first three to pass intermediate points during the stage. These sprints also scored points towards the points classification and bonuses towards the general classification. The intermediate sprints classification with its red jersey was abolished in 1989,[103] but the intermediate sprints have remained, offering points for the points classification and, until 2007, time bonuses for the general classification.
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From 1968 there was a combination classification,[104] scored on a points system based on standings in the general, points and mountains classifications. The design was originally white, then a patchwork with areas resembling each individual jersey design. This was also abolished in 1989.[105]
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The rider who has taken most time is called the lanterne rouge (red lantern, as in the red light at the back of a vehicle so it can be seen in the dark) and in past years sometimes carried a small red light beneath his saddle. Such was sympathy that he could command higher fees in the races that previously followed the Tour. In 1939 and 1948 the organisers excluded the last rider every day, to encourage more competitive racing.[n 7]
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Prize money has always been awarded. From 20,000 francs the first year,[106]
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prize money has increased each year, although from 1976 to 1987 the first prize was an apartment offered by a race sponsor. The first prize in 1988 was a car, a studio-apartment, a work of art, and 500,000 francs in cash. Prizes only in cash returned in 1990.[107]
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Prizes and bonuses are awarded for daily placings and final placings at the end of the race. In 2009, the winner received 450,000 €, while each of the 21 stage winners won 8,000 € (10,000 € for the team time-trial stage). The winners of the points classification and mountains classification each win 25,000 €, the young rider competition and the combativity prize 20,000 €; the winner of the team classification (calculated by adding the cumulative times of the best three riders in each team) receives 50 000 €.[108]
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The Souvenir Henri Desgrange, in memory of the founder of the Tour, is awarded to the first rider over the Col du Galibier where his monument stands,[108] or to the first rider over the highest col in the Tour. A similar award, the Souvenir Jacques Goddet, is made at the summit of the Col du Tourmalet, at the memorial to Jacques Goddet, Desgrange's successor.
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The modern tour typically has 21 stages, one per day.
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The Tour directors categorise mass-start stages into 'flat', 'hilly', or 'mountain'.[109] This affects the points awarded in the sprint classification, whether the 3 kilometer rule is operational, and the permitted disqualification time in which riders must finish (which is the winners' time plus a pre-determined percentage of that time).[110] Time bonuses of 10, 6, and 4 seconds are awarded to the first three finishers, though this was not done from 2008 to 2014.[111] Bonuses were previously also awarded to winners of intermediate sprints.
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The first time trial in the Tour was between La Roche-sur-Yon and Nantes (80 km) in 1934.[112] The first stage in modern Tours is often a short trial, a prologue, to decide who wears yellow on the opening day. The first prologue was in 1967.[64] The 1988 event, at La Baule, was called "la préface".[113] There are usually two or three time trials. The final time trial has sometimes been the final stage, more recently often the penultimate stage.
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Since 1975 the race has finished with laps of the Champs-Élysées. As the peloton arrives in downtown Paris the French Air Force does a three-jet flyover with the three colors of the French flag in smoke behind them. This stage rarely challenges the leader because it is flat and the leader usually has too much time in hand to be denied. In modern times, there tends to be a gentlemen's agreement: while the points classification is still contended if possible, the overall classification is not fought over; because of this, it is not uncommon for the de facto winner of the overall classification to ride into Paris holding a glass of champagne. The only time the Maillot Jaune was attacked in a manner that lasted all the way through the end of this stage was during the 1979 Tour de France. In 1987, Pedro Delgado vowed to attack during the stage to challenge the 40-second lead held by Stephen Roche. He was unsuccessful and he and Roche finished in the peloton.[114] In 2005, controversy arose when Alexander Vinokourov attacked and won the stage, in the process taking fifth place overall from Levi Leipheimer.[115] This attack was not a threat to the overall lead, but was a long-shot at the Podium standings, as Vinokourov was about five minutes behind 3rd place.
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In 1989 the last stage was a time trial. Greg LeMond overtook Laurent Fignon to win by eight seconds, the closest margin in the Tour's history.[116]
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The climb of Alpe d'Huez has become one of the more noted mountain stages. During the 2004 Tour de France it was the scene of a 15.5 kilometres (9.6 mi) mountain time trial on the 16th stage. Riders complained of abusive spectators who threatened their progress up the climb.[117][118] On this stage it is not uncommon for a low end estimate of the spectators in attendance to number 300,000. During a famous head to head battle between Anquetil and Raymond Poulidor on Puy de Dome it was estimated that at least a half a million people were on hand.[119] Mont Ventoux is often claimed to be the hardest in the Tour because of the harsh conditions. Another notable mountain stage frequently featured climbs the Col du Tourmalet, the most visited mountain in the history of the Tour. Col du Galibier is the most visited mountain in the Alps. The 2011 Tour de France stage to Galibier marked the 100th anniversary of the mountain in the Tour and also boasted the highest finish altitude ever: 2,645 metres (8,678 ft).[120] Some mountain stages have become memorable because of the weather. An example is a stage in 1996 Tour de France from Val-d'Isère to Sestriere. A snowstorm at the start area led to a shortening of the stage from 190 kilometres (120 mi) to just 46 kilometres (29 mi). During the 2019 Tour de France multiple landslides and hail storms forced two critical mountain stages to be considerably shortened. Authorities made every effort to plow the road and make the course safe, but the volume of hail, mud and debris proved too much.[121]
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To host a stage start or finish brings prestige and business to a town. The prologue and first stage (Grand Départ) are particularly prestigious. The race may start with a prologue (too short to go between towns) in which case the start of the next day's racing, which would be considered stage 1, would usually be in the same town. In 2007 director Christian Prudhomme said that "in general, for a period of five years we have the Tour start outside France three times and within France twice."[122]
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With the switch to the use of national teams in 1930, the costs of accommodating riders fell to the organizers instead of the sponsors and Henri Desgrange raised the money by allowing advertisers to precede the race. The procession of often colourfully decorated trucks and cars became known as the publicity caravan. It formalised an existing situation, companies having started to follow the race. The first to sign to precede the Tour was the chocolate company, Menier, one of those who had followed the race. Its head of publicity, Paul Thévenin, had first put the idea to Desgrange.[123] It paid 50,000 francs. Preceding the race was more attractive to advertisers because spectators gathered by the road long before the race or could be attracted from their houses. Advertisers following the race found that many who had watched the race had already gone home. Menier handed out tons of chocolate in that first year of preceding the race, as well as 500,000 policemen's hats printed with the company's name. The success led to the caravan's existence being formalised the following year.
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The caravan was at its height between 1930 and the mid-1960s, before television and especially television advertising was established in France. Advertisers competed to attract public attention. Motorcycle acrobats performed for the Cinzano apéritif company and a toothpaste maker, and an accordionist, Yvette Horner, became one of the most popular sights as she performed on the roof of a Citroën Traction Avant.[124] The modern Tour restricts the excesses to which advertisers are allowed to go but at first anything was allowed. The writer Pierre Bost[n 8] lamented: "This caravan of 60 gaudy trucks singing across the countryside the virtues of an apéritif, a make of underpants or a dustbin is a shameful spectacle. It bellows, it plays ugly music, it's sad, it's ugly, it smells of vulgarity and money."[125]
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Advertisers pay the Société du Tour de France approximately €150,000 to place three vehicles in the caravan.[126] Some have more. On top of that come the more considerable costs of the commercial samples that are thrown to the crowd and the cost of accommodating the drivers and the staff—frequently students—who throw them. The number of items has been estimated at 11 million, each person in the procession giving out 3,000 to 5,000 items a day.[126] A bank, GAN, gave out 170,000 caps, 80,000 badges, 60,000 plastic bags, and 535,000 copies of its race newspaper in 1994. Together, they weighed 32 tonnes (31 long tons; 35 short tons).[127] The vehicles also have to be decorated on the morning of each stage and, because they must return to ordinary highway standards, disassembled after each stage. Numbers vary but there are normally around 250 vehicles each year. Their order on the road is established by contract, the leading vehicles belonging to the largest sponsors.
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The procession sets off two hours before the start and then regroups to precede the riders by an hour and a half. It spreads 20–25 kilometres (12–16 mi) and takes 40 minutes to pass at between 20 kilometres per hour (12 mph) and 60 kilometres per hour (37 mph). Vehicles travel in groups of five. Their position is logged by GPS and from an aircraft and organised on the road by the caravan director—Jean-Pierre Lachaud[n 9]—an assistant, three motorcyclists, two radio technicians, and a breakdown and medical crew.[126] Six motorcyclists from the Garde Républicaine, the élite of the gendarmerie, ride with them.[127]
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The first three Tours from 1903–1905 stayed within France. The 1906 race went into Alsace-Lorraine, territory annexed by the German Empire in 1871 after the Franco-Prussian War. Passage was secured through a meeting at Metz between Desgrange's collaborator, Alphonse Steinès, and the German governor.
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No teams from Italy, Germany, or Spain rode in 1939 because of tensions preceding the Second World War (after German assistance to the Nationalists in the Spanish Civil War it was widely expected Spain would join Germany in a European war, though this did not come to pass). Henri Desgrange planned a Tour for 1940, after war had started but before France had been invaded. The route, approved by military authorities, included a route along the Maginot Line.[128] Teams would have been drawn from military units in France, including the British, who would have been organised by a journalist, Bill Mills.[128] Then the Germans invaded and the race was not held again until 1947 (see Tour de France during the Second World War). The first German team after the war was in 1960, although individual Germans had ridden in mixed teams. The Tour has since started in Germany four times: in Cologne in 1965, in Frankfurt in 1980, in West Berlin on the city's 750th anniversary in 1987, and in Düsseldorf in 2017. Plans to enter East Germany in 1987 were abandoned.
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Prior to 2013, the Tour de France had visited every region of Metropolitan France except Corsica.[129] Jean-Marie Leblanc, when he was organiser, said the island had never asked for a stage start there. It would be difficult to find accommodation for 4,000 people, he said.[130] The spokesman of the Corsican nationalist party Party of the Corsican Nation, François Alfonsi, said: "The organisers must be afraid of terrorist attacks. If they are really thinking of a possible terrorist action, they are wrong. Our movement, which is nationalist and in favour of self-government, would be delighted if the Tour came to Corsica."[130] The opening three stages of the 2013 Tour de France were held on Corsica as part of the celebrations for the 100th edition of the race.
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Most stages are in mainland France, although since the mid-1950s it has become common to visit nearby countries:[131] Andorra, Belgium, Germany (and the former West Germany), Ireland, Italy, Luxembourg, Monaco, the Netherlands, Spain,
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Switzerland, and the United Kingdom have all hosted stages or part of a stage. Since 1975 the finish has been on the Champs-Élysées in Paris; from 1903 to 1967 the race finished at the Parc des Princes stadium in western Paris and from 1968 to 1974 at the Piste Municipale south of the capital.[104] Feliz Levitan, race organizer in the 1980s, was keen to host stages in the United States, but these proposals have never been developed.[132]
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The following editions of the Tour started, or are planned to start, outside France:[133]
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The Tour was first followed only by journalists from L'Auto, the organisers. The race was founded to increase sales of a floundering newspaper and its editor, Desgrange, saw no reason to allow rival publications to profit.
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The first time papers other than L'Auto were allowed was 1921, when 15 press cars were allowed for regional and foreign reporters.[134]
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The Tour was shown first on cinema newsreels a day or more after the event. The first live radio broadcast was in 1929, when Jean Antoine and Alex Virot of the newspaper L'Intransigeant broadcast for Radio Cité. They used telephone lines. In 1932 they broadcast the sound of riders crossing the col d'Aubisque in the Pyrenees on 12 July, using a recording machine and transmitting the sound later.
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The first television pictures were shown a day after a stage. The national TV channel used two 16mm cameras, a Jeep, and a motorbike. Film was flown or taken by train to Paris, where it was edited and then shown the following day.
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The first live broadcast, and the second of any sport in France, was the finish at the Parc des Princes in Paris on 25 July 1948.[135] Rik Van Steenbergen of Belgium led in the bunch after a stage of 340 kilometres (210 mi) from Nancy. The first live coverage from the side of the road was from the Aubisque on 8 July 1958. Proposals to cover the whole race were abandoned in 1962 after objections from regional newspapers whose editors feared the competition.[136] The dispute was settled, but not in time for the race, and the first complete coverage was the following year in 1963. In 1958 the first mountain climbs were broadcast live on television for the first time,[137] and in 1959 helicopters were first used for the television coverage.[138]
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The leading television commentator in France was a former rider, Robert Chapatte. At first he was the only commentator. He was joined in following seasons by an analyst for the mountain stages and by a commentator following the competitors by motorcycle.
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Broadcasting in France was largely a state monopoly until 1982, when the socialist president François Mitterrand allowed private broadcasters and privatised the leading television channel. Competition between channels raised the broadcasting fees paid to the organisers from 1.5 per cent of the race budget in 1960 to more than a third by the end of the century.[139] Broadcasting time also increased as channels competed to secure the rights. The two largest channels to stay in public ownership, Antenne 2 and FR3, combined to offer more coverage than its private rival, TF1. The two stations, renamed France 2 and France 3, still hold the domestic rights and provide pictures for broadcasters around the world.
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The stations use a staff of 300 with four helicopters, two aircraft, two motorcycles, 35 other vehicles including trucks, and 20 podium cameras.[n 10]
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French aviation company Hélicoptères de France (HdF) has provided aerial filming services for the Tour since 1999. HdF operates Eurocopter AS355 Écureuil 2 and AS350 Écureuil helicopters for this purpose, and the pilots undergo training along the course for six months before the race.[140][141]
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Domestic television covers the most important stages of the Tour, such as those in the mountains, from mid-morning until early evening. Coverage typically starts with a survey of the day's route, interviews along the road, discussions of the difficulties and tactics ahead, and a 30-minute archive feature. The biggest stages are shown live from start to end, followed by interviews with riders and others and features such an edited version of the stage seen from beside a team manager following and advising riders from his car. Radio covers the race in updates throughout the day, particularly on the national news channel, France Info, and some stations provide continuous commentary on long wave. The 1979 Tour was the first to be broadcast in the United States.[142]
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The combination of unprecedented rigorous doping controls and almost no positive tests helped restore fans' confidence in the 2009 Tour de France. This led directly to an increase in global popularity of the event. The most watched stage of 2009 was stage 20, from Montélimar to Mont Ventoux in Provence, with a global total audience of 44 million, making it the 12th most watched sporting event in the world in 2009.[143]
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The Tour is an important cultural event for fans in Europe. Millions[144] line the route, some having camped for a week to get the best view. Crowds flanking the course are reminiscent of the community festivals that are part of another form of cycle racing in a different country – the Isle of Man TT.[145]
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The Tour de France appealed from the start not just for the distance and its demands but because it played to a wish for national unity,[146] a call to what Maurice Barrès called the France "of earth and deaths" or what Georges Vigarello called "the image of a France united by its earth."[147]
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The image had been started by the 1877 travel/school book Le Tour de la France par deux enfants.[n 11] It told of two boys, André and Julien, who "in a thick September fog left the town of Phalsbourg in Lorraine to see France at a time when few people had gone far beyond their nearest town."
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The book sold six million copies by the time of the first Tour de France,[146] the biggest selling book of 19th-century France (other than the Bible).[148] It stimulated a national interest in France, making it "visible and alive", as its preface said. There had already been a car race called the Tour de France but it was the publicity behind the cycling race, and Desgrange's drive to educate and improve the population,[149] that inspired the French to know more of their country.[150]
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The academic historians Jean-Luc Boeuf and Yves Léonard say most people in France had little idea of the shape of their country until L'Auto began publishing maps of the race.[151]
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The Tour has inspired several popular songs in France, notably P'tit gars du Tour (1932), Les Tours de France (1936) and Faire le Tour de France (1950). German electronic group Kraftwerk composed "Tour de France" in 1983 – described as a minimalistic "melding of man and machine"[152] – and produced an album, Tour de France Soundtracks in 2003, the centenary of the Tour.
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The Tour and its first Italian winner, Ottavio Bottecchia, are mentioned at the end of Ernest Hemingway's The Sun Also Rises.[153]
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In films, the Tour was background for Five Red Tulips (1949) by Jean Stelli, in which five riders are murdered. A burlesque in 1967, Les Cracks by Alex Joffé, with Bourvil et Monique Tarbès, also featured it. Footage of the 1970 Tour de France is shown in Jorgen Leth's experimental short Eddy Merckx in the Vicinity of a Cup of Coffee. Patrick Le Gall made Chacun son Tour (1996). The comedy, Le Vélo de Ghislain Lambert (2001), featured the Tour of 1974.
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In 2005, three films chronicled a team. The German Höllentour, translated as Hell on Wheels, recorded 2003 from the perspective of Team Telekom. The film was directed by Pepe Danquart, who won an Academy Award for live-action short film in 1993 for Black Rider (Schwarzfahrer).[154] The Danish film Overcoming by Tómas Gislason recorded the 2004 Tour from the perspective of Team CSC.
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Wired to Win chronicles Française des Jeux riders Baden Cooke and Jimmy Caspar in 2003. By following their quest for the points classification, won by Cooke, the film looks at the working of the brain. The film, made for IMAX theaters, appeared in December 2005. It was directed by Bayley Silleck, who was nominated for an Academy Award for documentary short subject in 1996 for Cosmic Voyage.[155]
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A fan, Scott Coady, followed the 2000 Tour with a handheld video camera to make The Tour Baby!,[156] which raised $160,000 to benefit the Lance Armstrong Foundation,[157] and made a 2005 sequel, Tour Baby Deux!.[158]
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Vive Le Tour by Louis Malle is an 18-minute short of 1962. The 1965 Tour was filmed by Claude Lelouch in Pour un Maillot Jaune. This 30-minute documentary has no narration and relies on sights and sounds of the Tour.
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In fiction, the 2003 animated feature Les Triplettes de Belleville (The Triplets of Belleville) ties into the Tour de France.
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After the Tour de France there are criteriums in the Netherlands and Belgium. These races are public spectacles where thousands of people can see their heroes from the Tour de France race. The budget of a criterium is over 100,000 Euro, with most of the money going to the riders. Jersey winners or big-name riders earn between 20 and 60 thousand euros per race in start money.[159]
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Allegations of doping have plagued the Tour almost since 1903. Early riders consumed alcohol and used ether, to dull the pain.[160] Over the years they began to increase performance and the Union Cycliste Internationale and governments enacted policies to combat the practice.
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In 1924, Henri Pélissier and his brother Charles told the journalist Albert Londres they used strychnine, cocaine, chloroform, aspirin, "horse ointment" and other drugs.[161] The story was published in Le Petit Parisien under the title Les Forçats de la Route ('The Convicts of the Road')[17][162][163][164]
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On 13 July 1967, British cyclist Tom Simpson died climbing Mont Ventoux after taking amphetamine.
|
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In 1998, the "Tour of Shame", Willy Voet, soigneur for the Festina team, was arrested with erythropoietin (EPO), growth hormones, testosterone and amphetamine. Police raided team hotels and found products in the possession of the cycling team TVM. Riders went on strike. After mediation by director Jean-Marie Leblanc, police limited their tactics and riders continued. Some riders had dropped out and only 96 finished the race. It became clear in a trial that management and health officials of the Festina team had organised the doping.
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Further measures were introduced by race organisers and the UCI, including more frequent testing and tests for blood doping (transfusions and EPO use). This would lead the UCI to becoming a particularly interested party in an International Olympic Committee initiative, the World Anti-Doping Agency (WADA), created in 1999. In 2002, the wife of Raimondas Rumšas, third in the 2002 Tour de France, was arrested after EPO and anabolic steroids were found in her car. Rumšas, who had not failed a test, was not penalised. In 2004, Philippe Gaumont said doping was endemic to his Cofidis team. Fellow Cofidis rider David Millar confessed to EPO after his home was raided. In the same year, Jesus Manzano, a rider with the Kelme team, alleged he had been forced by his team to use banned substances.[165]
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From 1999 to 2006, seven successive tours were declared as having been won by Lance Armstrong.[166] In August 2005, one month after Armstrong's seventh apparent victory, L'Équipe published documents it said showed Armstrong had used EPO in the 1999 race.[167][168] At the same Tour, Armstrong's urine showed traces of a glucocorticosteroid hormone, although below the positive threshold. He said he had used skin cream containing triamcinolone to treat saddle sores.[169] Armstrong said he had received permission from the UCI to use this cream.[170] Further allegations ultimately culminated in the United States Anti Doping Agency (USADA) disqualifying him from all his victories since 1 August 1998, including his seven consecutive Tour de France victories, and a lifetime ban from competing in professional sports.[171] The ASO declined to name any other rider as winner in Armstrong's stead in those years.
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The 2006 Tour had been plagued by the Operación Puerto doping case before it began. Favourites such as Jan Ullrich and Ivan Basso were banned by their teams a day before the start. Seventeen riders were implicated. American rider Floyd Landis, who finished the Tour as holder of the overall lead, had tested positive for testosterone after he won stage 17, but this was not confirmed until some two weeks after the race finished. On 30 June 2008 Landis lost his appeal to the Court of Arbitration for Sport, and Óscar Pereiro was named as winner.[172]
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On 24 May 2007, Erik Zabel admitted using EPO during the first week of the 1996 Tour,[173] when he won the points classification. Following his plea that other cyclists admit to drugs, former winner Bjarne Riis admitted in Copenhagen on 25 May 2007 that he used EPO regularly from 1993 to 1998, including when he won the 1996 Tour.[174] His admission meant the top three in 1996 were all linked to doping, two admitting cheating. On 24 July 2007 Alexander Vinokourov tested positive for a blood transfusion (blood doping) after winning a time trial, prompting his Astana team to pull out and police to raid the team's hotel.[175] The next day Cristian Moreni tested positive for testosterone. His Cofidis team pulled out.[176]
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The same day, leader Michael Rasmussen was removed for "violating internal team rules" by missing random tests on 9 May and 28 June. Rasmussen claimed to have been in Mexico. The Italian journalist Davide Cassani told Danish television he had seen Rasmussen in Italy. The alleged lying prompted Rasmussen's firing by Rabobank.[177]
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On 11 July 2008 Manuel Beltrán tested positive for EPO after the first stage.[178] On 17 July 2008, Riccardo Riccò tested positive for continuous erythropoiesis receptor activator, a variant of EPO,[179] after the fourth stage. In October 2008, it was revealed that Riccò's teammate and Stage 10 winner Leonardo Piepoli, as well as Stefan Schumacher[180] – who won both time trials – and Bernhard Kohl[181] – third on general classification and King of the Mountains – had tested positive.
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After winning the 2010 Tour de France, it was announced that Alberto Contador had tested positive for low levels of clenbuterol on 21 July rest day.[182] On 26 January 2011, the Spanish Cycling Federation proposed a 1-year ban[183] but reversed its ruling on 15 February and cleared Contador to race.[184] Despite a pending appeal by the UCI, Contador finished 5th overall in the 2011 Tour de France, but in February 2012, Contador was suspended and stripped of his 2010 victory.[185]
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During the 2012 Tour, the 3rd placed rider from 2011, Fränk Schleck tested positive for the banned diuretic Xipamide and was immediately disqualified from the Tour.[citation needed]
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In October 2012, the United States Anti-Doping Agency released a report on doping by the U.S. Postal Service cycling team, implicating, amongst others, Armstrong. The report contained affidavits from riders including Frankie Andreu, Tyler Hamilton, George Hincapie, Floyd Landis, Levi Leipheimer, and others describing widespread use of Erythropoietin (EPO), blood transfusion, testosterone, and other banned practices in several Tours.[186] In October 2012 the UCI acted upon this report, formally stripping Armstrong of all titles since 1 August 1998, including all seven Tour victories,[187] and announced that his Tour wins would not be reallocated to other riders.[188]
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Cyclists who have died during the Tour de France:
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Another seven fatal accidents have occurred:
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One rider has been King of the Mountains, won the combination classification, combativity award, the points competition, and the Tour in the same year—Eddy Merckx in 1969, which was also the first year he participated.[193] The following year he came close to repeating the feat, but was five points behind the winner in the points classification. The only other rider to come close to this achievement is Bernard Hinault in 1979, who won the overall and points competitions and placed second in the mountains classification.
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Twice the Tour was won by a racer who never wore the yellow jersey until the race was over. In 1947, Jean Robic overturned a three-minute deficit on the 257 kilometres (160 mi) final stage into Paris. In 1968, Jan Janssen of the Netherlands secured his win in the individual time trial on the last day.
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The Tour has been won three times by racers who led the general classification on the first stage and holding the lead all the way to Paris. Maurice Garin did it during the Tour's very first edition, 1903; he repeated the feat the next year, but the results were nullified by the officials as a response to widespread cheating. Ottavio Bottecchia completed a GC start-to-finish sweep in 1924. And in 1928, Nicolas Frantz held the GC for the entire race, and at the end, the podium consisted solely of members of his racing team. While no one has equalled this feat since 1928, four times a racer has taken over the GC lead on the second stage and carried that lead all the way to Paris. It is worth noting that Jacques Anquetil predicted he would wear the yellow jersey as leader of the general classification from start to finish in 1961, which he did. That year, the first day had two stages, the first part from Rouen to Versailles and the second part from Versailles to Versailles. No yellow jersey was awarded after the first part, and at the end of the day Anquetil was in yellow.[194]
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The most appearances have been by Sylvain Chavanel, who rode his 18th and final Tour in 2018. Prior to Chavenel's final Tour, he shared the record with George Hincapie with 17. In light of Hincapie's suspension for use of performance-enhancing drugs, before which he held the mark for most consecutive finishes with sixteen, having completed all but his very first, Joop Zoetemelk and Chavanel share the record for the most finishes at 16, with Zoetemelk having completed all 16 of the Tours that he started. Of these 16 Tours Zoetemelk came in the top five 11 times, a record, finished second 6 times, a record, and won the 1980 Tour de France.
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In the early years of the Tour, cyclists rode individually, and were sometimes forbidden to ride together. This led to large gaps between the winner and the number two. Since the cyclists now tend to stay together in a peloton, the margins of the winner have become smaller, as the difference usually originates from time trials, breakaways or on mountain top finishes, or from being left behind the peloton. The smallest margins between the winner and the second placed cyclists at the end of the Tour is 8 seconds between winner Greg LeMond and Laurent Fignon in 1989. The largest margin, by comparison, remains that of the first Tour in 1903: 2h 49m 45s between Maurice Garin and Lucien Pothier.[195]
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The most podium places by a single rider is eight by Raymond Poulidor, followed by Bernard Hinault and Joop Zoetemelk with seven. Poulidor never finished in 1st place and neither Hinault nor Zoetemelk ever finished in 3rd place.[196]
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Three riders have won 8 stages in a single year: Charles Pélissier (1930[197]), Eddy Merckx (1970, 1974[198]), and Freddy Maertens (1976[199]). Mark Cavendish has the most mass finish stage wins with 30 as of stage 14 in 2016, ahead of André Darrigade and André Leducq with 22, François Faber with 19, and Eddy Merckx with 18.[200] The youngest Tour de France stage winner is Fabio Battesini, who was 19 when he won one stage in the 1931 Tour de France.[201]
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The fastest massed-start stage was in 1999 from Laval to Blois (194.5 kilometres (120.9 mi)), won by Mario Cipollini at 50.4 kilometres per hour (31.3 mph).[202] The fastest time-trial is Rohan Dennis' stage 1 of the 2015 Tour de France in Utrecht, won at an average of 55.446 kilometres per hour (34.453 mph).[203][204] The fastest stage win was by the 2013 Orica GreenEDGE team in a team time-trial. It completed the 25 kilometres (16 mi) in Nice (stage 5) at 57.8 kilometres per hour (35.9 mph).[205][206]
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The longest successful post-war breakaway by a single rider was by Albert Bourlon in the 1947 Tour de France. In the Carcassone-Luchon stage, he stayed away for 253 kilometres (157 mi).[207] It was one of seven breakaways longer than 200 kilometres (120 mi), the last being Thierry Marie's 234 kilometres (145 mi) escape in 1991.[207] Bourlon finished 16 m 30s ahead. This is one of the biggest time gaps but not the greatest. That record belongs to José-Luis Viejo, who beat the peloton by just over 23:00 and the second place rider by 22 m 50s in the Montgenèvre-Manosque stage in 1976.[207] He was the fourth and most recent rider to win a stage by more than 20 minutes.
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Four riders have won five times: Jacques Anquetil (FRA), Eddy Merckx (BEL), Bernard Hinault (FRA), and Miguel Indurain (ESP). Indurain achieved the mark with a record five consecutive wins.
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The Tour de France (French pronunciation: [tuʁ də fʁɑ̃s]) is an annual men's multiple stage bicycle race primarily held in France,[1] while also occasionally passing through nearby countries. Like the other Grand Tours (the Giro d'Italia and the Vuelta a España), it consists of 21 day-long stages over the course of 23 days. It has been described as "the world’s most prestigious and most difficult bicycle race."[2]
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The race was first organized in 1903 to increase sales for the newspaper L'Auto[3] and is currently run by the Amaury Sport Organisation.[4] The race has been held annually since its first edition in 1903 except when it was stopped for the two World Wars.[5] As the Tour gained prominence and popularity, the race was lengthened and its reach began to extend around the globe. Participation expanded from a primarily French field, as riders from all over the world began to participate in the race each year. The Tour is a UCI World Tour event, which means that the teams that compete in the race are mostly UCI WorldTeams, with the exception of the teams that the organizers invite.[6][7] It has become "the world's biggest annual sporting event."[8] A women's Tour de France was held under different names between 1984 and 2009. Since 2014, the La Course by Le Tour de France is held for women in a one- or two-day format during the men's race.
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Traditionally, the race is held primarily in the month of July. While the route changes each year, the format of the race stays the same with the appearance of time trials,[1] the passage through the mountain chains of the Pyrenees and the Alps, and the finish on the Champs-Élysées in Paris.[9][10] The modern editions of the Tour de France consist of 21 day-long segments (stages) over a 23-day period and cover around 3,500 kilometres (2,200 mi).[11] The race alternates between clockwise and counterclockwise circuits of France.[12]
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There are usually between 20 and 22 teams, with eight riders in each. All of the stages are timed to the finish; the riders' times are compounded with their previous stage times.[1] The rider with the lowest cumulative finishing times is the leader of the race and wears the yellow jersey.[1][13] While the general classification garners the most attention, there are other contests held within the Tour: the points classification for the sprinters, the mountains classification for the climbers, young rider classification for riders under the age of 26, and the team classification, based on the first three finishers from each team on each stage.[1] Achieving a stage win also provides prestige, often accomplished by a team's sprint specialist or a rider taking part in a breakaway.
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The Tour de France was created in 1903. The roots of the Tour de France trace back to the emergence of two rival sports newspapers in the country. On one hand was Le Vélo, the first and the largest daily sports newspaper in France[14] which sold 80,000 copies a day.[15] On the other was L'Auto, which had been set-up by journalists and business-people including Comte Jules-Albert de Dion, Adolphe Clément, and Édouard Michelin in 1899. The rival paper emerged following disagreements over the Dreyfus Affair, a cause célèbre (in which de Dion was implicated) that divided France at the end of the 19th century over the innocence of Alfred Dreyfus, a French army officer convicted—though later exonerated—of selling military secrets to the Germans.[n 1] The new newspaper appointed Henri Desgrange as the editor. He was a prominent cyclist and owner with Victor Goddet of the velodrome at the Parc des Princes.[16] De Dion knew him through his cycling reputation, through the books and cycling articles that he had written, and through press articles he had written for the Clément tyre company.
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L'Auto was not the success its backers wanted. Stagnating sales lower than the rival it was intended to surpass led to a crisis meeting on 20 November 1902 on the middle floor of L'Auto's office at 10 Rue du Faubourg Montmartre, Paris. The last to speak was the most junior there, the chief cycling journalist, a 26-year-old named Géo Lefèvre.[17] Desgrange had poached him from Giffard's paper.[18] Lefèvre suggested a six-day race of the sort popular on the track but all around France.[18] Long-distance cycle races were a popular means to sell more newspapers, but nothing of the length that Lefèvre suggested had been attempted.[n 2] If it succeeded, it would help L'Auto match its rival and perhaps put it out of business.[19] It could, as Desgrange said, "nail Giffard's beak shut."[20][21]
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Desgrange and Lefèvre discussed it after lunch. Desgrange was doubtful but the paper's financial director, Victor Goddet, was enthusiastic. He handed Desgrange the keys to the company safe and said: "Take whatever you need."[22] L'Auto announced the race on 19 January 1903.
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The first Tour de France was staged in 1903. The plan was a five-stage race from 31 May to 5 July, starting in Paris and stopping in Lyon, Marseille, Bordeaux, and Nantes before returning to Paris. Toulouse was added later to break the long haul across southern France from the Mediterranean to the Atlantic. Stages would go through the night and finish next afternoon, with rest days before riders set off again. But this proved too daunting and the costs too great for most[24] and only 15 competitors had entered. Desgrange had never been wholly convinced and he came close to dropping the idea.[25] Instead, he cut the length to 19 days, changed the dates to 1 to 19 July, and offered a daily allowance to those who averaged at least 20 kilometres per hour (12 mph) on all the stages,[26] equivalent to what a rider would have expected to earn each day had he worked in a factory.[27] He also cut the entry fee from 20 to 10 francs and set the first prize at 12,000 francs and the prize for each day's winner at 3,000 francs. The winner would thereby win six times what most workers earned in a year.[27] That attracted between 60 and 80 entrants – the higher number may have included serious inquiries and some who dropped out – among them not just professionals but amateurs, some unemployed, and some simply adventurous.[17]
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Desgrange seems not to have forgotten the Dreyfus Affair that launched his race and raised the passions of his backers. He announced his new race on 1 July 1903 by citing the writer Émile Zola, whose open letter J'Accuse…! led to Dreyfus's acquittal, establishing the florid style he used henceforth.[28][29][30]
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The first Tour de France started almost outside the Café Reveil-Matin at the junction of the Melun and Corbeil roads in the village of Montgeron. It was waved away by the starter, Georges Abran, at 3:16 p.m. on 1 July 1903. L'Auto hadn't featured the race on its front page that morning.[n 3][31][32]
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Among the competitors were the eventual winner, Maurice Garin, his well-built rival Hippolyte Aucouturier, the German favourite Josef Fischer, and a collection of adventurers including one competing as "Samson".[n 4]
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Many riders dropped out of the race after completing the initial stages as the physical effort the tour required was just too much. Only a mere 24 entrants remained at the end of the fourth stage.[33] The race finished on the edge of Paris at Ville d'Avray, outside the Restaurant du Père Auto, before a ceremonial ride into Paris and several laps of the Parc des Princes. Garin dominated the race, winning the first and last two stages, at 25.68 kilometres per hour (15.96 mph). The last rider, Millocheau, finished 64h 47m 22s behind him.
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L'Auto's mission was accomplished as throughout the race circulation of the publication doubled, making the race something much larger than Desgrange had ever hoped for.
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Such was the passion that the first Tour created in spectators and riders that Desgrange said the 1904 Tour de France would be the last. Cheating was rife and riders were beaten up by rival fans as they neared the top of the col de la République, sometimes called the col du Grand Bois, outside St-Étienne.[34] The leading riders, including the winner Maurice Garin, were disqualified, though it took the Union Vélocipèdique de France until 30 November to make the decision.[35] McGann says the UVF waited so long "...well aware of the passions aroused by the race."[36] Desgrange's opinion of the fighting and cheating showed in the headline of his reaction in L'Auto: THE END.[37] Desgrange's despair did not last. By the following spring he was planning another Tour, longer at 11 stages rather than 6 – and this time all in daylight to make any cheating more obvious.[38] Stages in 1905 began between 3 am and 7:30 am.[39] The race captured the imagination. L'Auto's circulation rose from 25,000 to 65,000;[17] by 1908 it was a quarter of a million. The Tour returned after its suspension during World War One and continued to grow, with circulation of L'Auto reaching 500,000 by 1923. The record claimed by Desgrange was 854,000 during the 1933 Tour.[40] Le Vélo, meanwhile, went out of business in 1904.
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Desgrange and his Tour invented bicycle stage racing.[41] Desgrange experimented with different ways of judging the winner. Initially he used total accumulated time (as used in the modern Tour de France) [29] but from 1906 to 1912 by points for placings each day.[39][n 5] Desgrange saw problems in judging both by time and by points. By time, a rider coping with a mechanical problem—which the rules insisted he repair alone—could lose so much time that it cost him the race. Equally, riders could finish so separated that time gained or lost on one or two days could decide the whole race. Judging the race by points removed over-influential time differences but discouraged competitors from riding hard. It made no difference whether they finished fast or slow or separated by seconds or hours, so they were inclined to ride together at a relaxed pace until close to the line, only then disputing the final placings that would give them points. [39]
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The format changed over time. The Tour originally ran around the perimeter of France. Cycling was an endurance sport and the organisers realised the sales they would achieve by creating supermen of the competitors. Night riding was dropped after the second Tour in 1904, when there had been persistent cheating when judges could not see riders.[42] That reduced the daily and overall distance but the emphasis remained on endurance. Desgrange said his ideal race would be so hard that only one rider would make it to Paris.[43] The first mountain stages (in the Pyrenees) appeared in 1910. Early tours had long multi-day stages, with the format settling on 15 stages from 1910 until 1924. After this, stages were gradually shortened, such that by 1936 there were as many as three stages in a single day.[44] Desgrange initially preferred to see the Tour as a race of individuals. The first Tours were open to whoever wanted to compete. Most riders were in teams that looked after them. The private entrants were called touriste-routiers – tourists of the road – from 1923[45] and were allowed to take part provided they make no demands on the organisers. Some of the Tour's most colourful characters have been touriste-routiers. One finished each day's race and then performed acrobatic tricks in the street to raise the price of a hotel. Until 1925 Desgrange forbade team members from pacing each other.[46] The 1927 and 1928 Tours, however, consisted mainly of team time-trials, an unsuccessful experiment which sought to avoid a proliferation of sprint finishes on flat stages. [47] Desgrange was a traditionalist with equipment. Until 1930 he demanded that riders mend their bicycles without help and that they use the same bicycle from start to end. Exchanging a damaged bicycle for another was allowed only in 1923.[45] Desgrange stood against the use of multiple gears and for many years insisted riders use wooden rims, fearing the heat of braking while coming down mountains would melt the glue that held the tires on metal rims (they were finally allowed in 1937).[48]
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By the end of the 1920s, Desgrange believed he could not beat what he believed were the underhand tactics of bike factories.[49][50] When the Alcyon team contrived to get Maurice De Waele to win even though he was sick,[51] he said "My race has been won by a corpse".[51][52] In 1930 Desgrange again attempted to take control of the Tour from teams, insisting competitors enter in national teams rather than trade teams and that competitors ride plain yellow bicycles that he would provide, without a maker's name.[51] There was no place for individuals in the post-1930s teams and so Desgrange created regional teams, generally from France, to take in riders who would not otherwise have qualified. The original touriste-routiers mostly disappeared but some were absorbed into regional teams. In 1936 Desgrange had a prostate operation. At the time, two operations were needed; the Tour de France was due to fall between them. Desgrange persuaded his surgeon to let him follow the race.[53] The second day proved too much and, in a fever at Charleville, he retired to his château at Beauvallon. Desgrange died at home on the Mediterranean coast on 16 August 1940.[53] The race was taken over by his deputy, Jacques Goddet.[54] The Tour was again disrupted by War after 1939, and did not return until 1947.
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In 1944, L'Auto was closed – its doors nailed shut – and its belongings, including the Tour, sequestrated by the state for publishing articles too close to the Germans.[55] Rights to the Tour were therefore owned by the government. Jacques Goddet was allowed to publish another daily sports paper, L'Équipe, but there was a rival candidate to run the Tour: a consortium of Sports and Miroir Sprint. Each organised a candidate race. L'Équipe and Le Parisien Libéré had La Course du Tour de France[56] and Sports and Miroir Sprint had La Ronde de France. Both were five stages, the longest the government would allow because of shortages.[57] L'Équipe's race was better organised and appealed more to the public because it featured national teams that had been successful before the war, when French cycling was at a high. L'Équipe was given the right to organise the 1947 Tour de France.[53] However, L'Équipe's finances were never sound and Goddet accepted an advance by Émilion Amaury, who had supported his bid to run the post-war Tour.[53] Amaury was a newspaper magnate whose condition was that his sports editor, Félix Lévitan should join Goddet for the Tour.[53] The two worked together, Goddet running the sporting side and Lévitan the financial.
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On the Tour's return, the format of the race settled on between 20–25 stages. Most stages would last one day but the scheduling of 'split' stages continued well in to the 1980s. 1953 saw the introduction of the Green Jersey 'Points' competition. National teams contested the Tour until 1961.[58] The teams were of different sizes. Some nations had more than one team and some were mixed in with others to make up the number. National teams caught the public imagination but had a snag: that riders might normally have been in rival trade teams the rest of the season. The loyalty of riders was sometimes questionable, within and between teams. Sponsors were always unhappy about releasing their riders into anonymity for the biggest race of the year, as riders in national teams wore the colours of their country and a small cloth panel on their chest that named the team for which they normally rode. The situation became critical at the start of the 1960s. Sales of bicycles had fallen and bicycle factories were closing.[59] There was a risk, the trade said, that the industry would die if factories were not allowed the publicity of the Tour de France. The Tour returned to trade teams in 1962.[58] In the same year, Émilion Amaury, owner of le Parisien Libéré, became financially involved in the Tour. He made Félix Lévitan co-organizer of the Tour, and it was decided that Levitan would focus on the financial issues, and Jacques Goddet on the sporting issues.[60] The Tour de France was meant for professional cyclists, but in 1961 the organisation started the Tour de l'Avenir the amateur version.[61]
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Doping had become a problem culminating in the death of Tom Simpson in 1967, after which riders went on strike, [62][63] though the organisers suspected sponsors provoked them. The Union Cycliste Internationale introduced limits to daily and overall distances, imposed rest days and tests were introduced for riders. It was then impossible to follow the frontiers, and the Tour increasingly zig-zagged across the country, sometimes with unconnected days' races linked by train, while still maintaining some sort of loop. The Tour returned to national teams for 1967 and 1968[64] as "an experiment".[65] The Tour returned to trade teams in 1969[66] with a suggestion that national teams could come back every few years, but this has not happened since.
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In the early 1970s the race was dominated by Eddy Merckx, who won the General Classification five times, the Mountains Classification twice, the Points Classification three times and a record 34 stages.[67] Merckx's dominating style earned him the nickname "The Cannibal". In 1969 he already had a commanding lead when he launched a solo attack which none of the other elite riders could answer, resulting in a winning margin of nearly eighteen minutes. In 1973 he did not win because he did not enter the Tour and his reign as champ only came to an end when he finished 2nd to Bernard Thevenet in 1975.
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During this era race director Felix Lévitan began to recruit additional sponsors, sometimes accepting prizes in kind if he could not get cash. In 1975 the polka-dot jersey was introduced for the winner of the Mountains Classification.[68][69] This same year Levitan also introduced the finish of the Tour at the Avenue des Champs-Élysées. Since then this stage has been largely ceremonial and is generally only contested as a prestigious sprinters' stage. (See 'Notable Stages' below for examples of non-ceremonial finishes to this stage) Occasionally a rider will be given the honor of leading the rest of the peloton onto the circuit finish in their final Tour as was the case for Jens Voigt and Sylvain Chavanel among others.
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The late 1970s into the early 1980s the Tour was dominated by Frenchman Bernard Hinault who would become the third rider to win five times. Hinault was defeated by Joop Zoetemelk in 1980 when he withdrew, and by his own teammate Greg LeMond in 1986 but he was in contention during both of these Tours. Only once in his Tour de France career was he soundly defeated and this was by Laurent Fignon in 1984. The 1987 edition, was more uncertain than past editions as previous winners Hinault and Zoetemelk had retired, LeMond was absent and Fignon was suffering from a lingering injury. As such the race was highly competitive and the lead changed hands eight times before Stephen Roche won. When Roche won the World Championship later in the season he became only the second rider (after Merckx) to win cycling's Triple Crown which meant winning the Giro, the Tour and the World road race championship in the same year.
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Levitan helped drive an internationalization of the Tour de France, and cycling in general.[68] Roche was the first winner from Ireland, but in the years leading up to his victory cyclists from numerous other countries began joining the ranks of the peloton. In 1982 Sean Kelly of Ireland (points) and Phil Anderson of Australia (young rider) became the first winners of any Tour classifications from outside cycling's Continental Europe heartlands, while Lévitan was influential in facilitating the participation in the 1983 Tour by amateur riders from the Eastern Bloc and Colombia.[68] In 1984, for the first time, the Société du Tour de France organized the Tour de France Féminin, a version for women.[n 6] It was run in the same weeks as the men's version, and won by Marianne Martin.[70] Greg LeMond of the US became the first non-European winner in the 1986 race.
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While the global awareness and popularity of the Tour grew during this time, its finances became stretched.[71] Goddet and Lévitan continued to clash over the running of the race.[71] Lévitan launched the Tour of America, as a precursor to his plans to take the Tour de France to the US.[71] The Tour of America lost a lot of money, and it appeared to have been cross-financed by the Tour de France.[53] In the years before 1987, Lévitan's position had always been protected by Émilien Amaury, the then owner of ASO, but recently, Émilien Amaury had retired and his son Philippe Amaury was now responsible. When Lévitan arrived at his office on 17 March 1987, he found that his doors were locked and he was fired. The organisation of the 1987 Tour de France was taken over by Jean-François Naquet-Radiguet.[72] He was not successful in acquiring more funds, and was fired within one year.[73]
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Months before the start of the 1988 Tour, director Jean-François Naquet-Radiguet was replaced by Xavier Louy.[74] In 1988 the Tour was organised by Jean-Pierre Courcol, the director of L'Équipe, then in 1989 by Jean-Pierre Carenso and then by Jean-Marie Leblanc, who in 1989 had been race director. The former television presenter Christian Prudhomme—he commentated on the Tour among other events—replaced Leblanc in 2007, having been assistant director for three years. In 1993 ownership of L'Équipe moved to the Amaury Group, which formed Amaury Sport Organisation (ASO) to oversee its sports operations, although the Tour itself is operated by its subsidiary the Société du Tour de France. [75]
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From 1988 onward was arguably the beginning of what can be referred to as the dope-era, as a new drug which drug tests were not able to detect began being used known as erythropoietin (EPO). Pedro Delgado won the 1988 Tour de France by a considerable margin and in 1989 and 1990 Lemond returned from injury and won back to back Tours with the 1989 edition still standing as the closest two-way battle in TDF history with Lemond claiming an 8-second victory on the final time trial to best Laurent Fignon. The early 1990s was dominated by Spaniard Miguel Indurain who became such an exceptional time-trialist that it didn't even matter many top level riders were experimenting with EPO. He won the time trials by such dominating margins that virtually nobody could compete with him and as a result he became the first rider to win five Tours in a row. The influx of more international riders continued through this period as in 1996 and 1997 the race was won for the first time by a rider from Denmark in Bjarne Riis, and Germany in Jan Ullrich. During the 1998 Tour de France a doping scandal known as the Festina Affair shook the sport to its core when it became apparent that there was systematic doping going on in the sport. Numerous riders and a handful of teams were either thrown out of the race, or left of their own free will and in the end Marco Pantani survived to win his lone Tour in a reduced main field. The 1999 Tour de France was billed as the ‘Tour of Renewal’ as the sport tried to clean up its image following the doping fiasco of the previous year. Initially it seemed to be a Cinderella type story when cancer survivor Lance Armstrong stole the show on Sestriere and kept on riding to the first of his astonishing seven consecutive Tour de France victories, however 1999 was just the beginning of the doping problem getting much, much worse. Following Armstrong's retirement in 2005 the 2006 edition saw his former teammate Floyd Landis finally get the chance he worked so hard for with a stunning and improbable solo breakaway on Stage 17 in which he set himself up to win the Tour in the final time trial, which he then did. Not long after the Tour was over however, Landis was accused of doping and had his Tour win revoked.[76]
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Over the next few years a new star in Alberto Contador came onto the scene,[77] but during the 2007 edition a veteran, committed Danish rider Michael Rasmussen was in the Maillot Jaune late in the Tour in position to win when his own team sacked him for a possible doping infraction;[78] this allowed the rising star Contador to ride mistake free for the remaining stages to win his first. 2008 saw a Tour where so many riders were doping that when it went ten days without a single doping incident it became news.[79] It was during this Tour that a UCI official was quoted as saying, "These guys are crazy, the sooner they start learning, the better."[80] Roger Legeay, a Directeur Sportif for one of the teams noted how riders were secretly and anonymously buying doping products on the internet. Like Greg LeMond at the beginning of the EPO era, 2008 winner Carlos Sastre was a rider who went his entire career without a single doping incident and between approximately 1994 and 2011 this was the only Tour to have a winner with a clear biological passport.[81] 2009 saw the return of Lance Armstrong and strangely, after Contador was able to defeat his teammate, the Danish National Anthem was mistakenly played. No Danish rider was in contention in 2009 and Rasmussen, the only Danish rider capable of winning the Tour during this era was not even in the race. Another rider absent was Floyd Landis, who had asked Armstrong to get him back on a team to ride the Tour once more but Armstrong refused because Landis was a convicted doper. Landis joined OUCH, an American continental team and not long after this initiated contact with USADA to discuss Armstrong.
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In 2011 Cadel Evans would become the first Australian to win the Tour after coming up just short several times in the previous few editions.[82] Very early in his career while making the transition from mountain biking to pro cycling Evans met with Armstrong's doctor Michele Ferrari one time, but never again had professional contact with him.[83]
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The 2012 Tour de France would be won by the first British rider to ever win the Tour in Bradley Wiggins while finishing on the podium just behind him was Chris Froome, who along with Contador, would become the next big stars to attempt to contest the giants of Anquetil, Merckx, Hinault, Indurain and Armstrong. Overshadowing the entire sport at this time however, was the Lance Armstrong doping case, which finally revealed much of the truth about doping in cycling.[84] As a result, the UCI decided that each of Armstrong's seven wins would be revoked. This decision cleared the names of many people, including lesser known riders, reporters, team medical staff and even the wife of a rider who had their reputations tarnished or had been forced from the sport by challenging the Armstrong machine. Much of this only became possible after Floyd Landis came forward to USADA. Also around this time an investigation by the French government into doping in cycling revealed that way back during the 1998 Tour, close to 90% of the riders who were tested, retroactively tested positive for EPO.[85] The end result of these doping scandals being that in the case of Landis in 2006, and Contador in 2010 new winners were declared in Oscar Pereiro and Andy Schleck respectively, however in the case of the seven Tours revoked from Armstrong there was no alternate winner named, as much of Armstrong's competition was just as guilty as he was and the sport has been trying to set the right example for the future generation of riders. The generation from the mid 2010s and beyond seems to be competing on a level playing field without having to make the decision so many riders of the previous generation had to make; which was to give in and start doping, or give up on their dreams.
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In the local towns and cities that the Tour visits for stage starts and finishes it is quite the spectacle that usually shuts these towns down for the day resulting in a very festive atmosphere and these events usually require months of planning and preparation. ASO employs around 70 people full-time, in an office facing but not connected to L'Équipe in the Issy-les-Moulineaux area of outer western Paris. That number expands to about 220 during the race itself, not including 500 contractors employed to move barriers, erect stages, signpost the route and other work.[86] ASO now also operate several other major bike races throughout the year.
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The 2020 Tour was postponed to commence on 29 August, following the French government's extension of a ban on mass gatherings after the worldwide COVID-19 outbreak.[87] This was the first time since the end of World War II that the Tour De France was not held in the month of July.[88]
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The oldest and main competition in the Tour de France is known as the "general classification", for which the yellow jersey is awarded: the winner of this is said to have won the race.[89] A few riders from each team aim to win overall but there are three further competitions to draw riders of all specialties: points, mountains, and a classification for young riders with general classification aspirations.[89] The leader of each of the aforementioned classifications wears a distinctive jersey, with riders leading multiple classifications wearing the jersey of the most prestigious that he leads.[89] In addition to these four classifications, there are several minor and discontinued classifications that are competed for during the race.[89]
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The oldest and most sought after classification in the Tour de France is the general classification.[89][90] All of the stages are timed to the finish.[90] The riders' times are compounded with their previous stage times; so the rider with the lowest aggregate time is the leader of the race.[89][90] The leader is determined after each stage's conclusion: he gains the privilege to wear the yellow jersey, presented on a podium in the stage's finishing town, for the next stage. If a rider is leading more than one classification that awards a jersey, he wears the yellow one, since the general classification is the most important one in the race.[13] Between 1905 and 1912 inclusive, in response to concerns about rider cheating in the 1904 race, the general classification was awarded according to a point-based system based on their placings in each stage, and the rider with the lowest total of points after the Tour's conclusion was the winner.[90]
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The leader in the first Tour de France was awarded a green armband.[17] The yellow jersey (The color yellow was chosen as the magazine that created the Tour, L'Auto, printed its newspapers on yellow paper), was added to the race in the 1919 edition and it has since become a symbol of the Tour de France.[89] The first rider to wear the yellow jersey was Eugène Christophe. Riders usually try to make the extra effort to keep the jersey for as long as possible in order to get more publicity for the team and its sponsors. Eddy Merckx has worn the yellow jersey for 96 stages, which is more than any other rider in the history of the Tour de France. Four riders have won the general classification five times in their career: Jacques Anquetil, Eddy Merckx, Bernard Hinault, and Miguel Indurain.
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The mountains classification is the second oldest jersey awarding classification in the Tour de France. The mountains classification was added to the Tour de France in the 1933 edition and was first won by Vicente Trueba.[89][91] Prizes for the classification were first awarded in 1934.[91] During stages of the race containing climbs, points are awarded to the first riders to reach the top of each categorized climb, with points available for up to the first 10 riders, depending on the classification of the climb. Climbs are classified according to the steepness and length of that particular hill, with more points available for harder climbs. The classification was preceded by the meilleur grimpeur (English: best climber) which was awarded by the organising newspaper l'Auto to a cyclist who completed each race.
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The classification awarded no jersey to the leader until the 1975 Tour de France, when the organizers decided to award a distinctive white jersey with red dots to the leader.[89][91] The climbers' jersey is worn by the rider who, at the start of each stage, has the largest number of climbing points.[90] If a rider leads two or more of classifications, the climbers' jersey is worn by the rider in second, or third, place in that contest. At the end of the Tour, the rider holding the most climbing points wins the classification. Some riders may race with the aim of winning this particular competition, while others who gain points early on may shift their focus to the classification during the race. The Tour has five categories for ranking the mountains the race covers. The scale ranges from category 4, the easiest, to hors catégorie, the hardest. During his career Richard Virenque won the mountains classification a record seven times.
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The point distribution for the mountains in the 2019 event was:[92]
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The points classification is the third oldest of the currently awarded jersey classifications.[89] It was introduced in the 1953 Tour de France and was first won by Fritz Schär. The classification was added to draw the participation of the sprinters as well as celebrate the 50th anniversary of the Tour. Points are given to the first 15 riders to finish a stage, with an additional set of points given to the first 15 riders to cross a pre-determined 'sprint' point during the route of each stage. The point classification leader green jersey is worn by the rider who at the start of each stage, has the greatest number of points.[90]
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In the first years, the cyclist received penalty points for not finishing with a high place, so the cyclist with the fewest points was awarded the green jersey. From 1959 on, the system was changed so the cyclists were awarded points for high place finishes (with first place getting the most points, and lower placings getting successively fewer points), so the cyclist with the most points was awarded the green jersey. The number of points awarded varies depending on the type of stage, with flat stages awarding the most points at the finish and time trials and high mountain stages awarding the fewest points at the finish.[90] This increases the likelihood of a sprinter winning the points classification, though other riders can be competitive for the classification if they have a sufficient number of high-place finishes.
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The winner of the classification is the rider with the most points at the end of the Tour. In case of a tie, the leader is determined by the number of stage wins, then the number of intermediate sprint victories, and finally, the rider's standing in the general classification. The classification has been won a record seven times by Peter Sagan.[89][93]
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The first year the points classification was used it was sponsored by La Belle Jardinière, a lawn mower producer, and the jersey was made green. In 1968 the jersey was changed to red to please the sponsor.[94] However, the color was changed back the following year. For almost 25 years the classification was sponsored by Pari Mutuel Urbain, a state betting company.[91][95] However they announced in November 2014 that they would not be continuing their sponsorship, and in March 2015 it was revealed that the green jersey would now be sponsored by Czech car manufacturer Škoda.[95]
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As of 2015, the points awarded are:[96]
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The leader of the classification is determined the same way as the general classification, with the riders' times being added up after each stage and the eligible rider with lowest aggregate time is dubbed the leader. The Young rider classification is restricted to the riders that are under the age of 26. Originally the classification was restricted to neo-professionals – riders that are in their first three years of professional racing – until 1983. In 1983, the organizers made it so that only first time riders were eligible for the classification. In 1987, the organizers changed the rules of the classification to what they are today.
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This classification was added to the Tour de France in the 1975 edition, with Francesco Moser being the first to win the classification after placing seventh overall. The Tour de France awards a white jersey to the leader of the classification, although this was not done between 1989 and 2000.[89] Five riders have won both the young rider classification and the general classification in the same year: Laurent Fignon (1983), Jan Ullrich (1997), Alberto Contador (2007), Andy Schleck (2010), and Egan Bernal (2019). Two riders have won the young rider classification three times in their respective careers: Jan Ullrich and Andy Schleck.
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As of 2015 Jersey sponsor is Optician company Krys,[97] replacing Škoda who moved to the Green Jersey.
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The prix de la combativité goes to the rider who most animates the day, usually by trying to break clear of the field. The most combative rider wears a number printed white-on-red instead of black-on-white next day. An award goes to the most aggressive rider throughout the Tour. Already in 1908 a sort of combativity award was offered, when Sports Populaires and L'Education Physique created Le Prix du Courage, 100 francs and a silver gilt medal for "the rider having finished the course, even if unplaced, who is particularly distinguished for the energy he has used."[98][99] The modern competition started in 1958.[98][100] In 1959, a Super Combativity award for the most combative cyclist of the Tour was awarded. It was initially not awarded every year, but since 1981 it has been given annually. Eddy Merckx has the most wins (4) for the overall award.
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The team classification is assessed by adding the time of each team's best three riders each day. The competition does not have its own jersey but since 2006 the leading team has worn numbers printed black-on-yellow. Until 1990, the leading team would wear yellow caps. As of 2012, the riders of the leading team wear yellow helmets.[101] During the era of national teams, France and Belgium won 10 times each.[91] From 1973 up to 1988, there was also a team classification based on points (stage classification); members of the leading team would wear green caps.
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There has been an intermediate sprints classification, which from 1984 awarded a red jersey[102] for points awarded to the first three to pass intermediate points during the stage. These sprints also scored points towards the points classification and bonuses towards the general classification. The intermediate sprints classification with its red jersey was abolished in 1989,[103] but the intermediate sprints have remained, offering points for the points classification and, until 2007, time bonuses for the general classification.
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From 1968 there was a combination classification,[104] scored on a points system based on standings in the general, points and mountains classifications. The design was originally white, then a patchwork with areas resembling each individual jersey design. This was also abolished in 1989.[105]
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The rider who has taken most time is called the lanterne rouge (red lantern, as in the red light at the back of a vehicle so it can be seen in the dark) and in past years sometimes carried a small red light beneath his saddle. Such was sympathy that he could command higher fees in the races that previously followed the Tour. In 1939 and 1948 the organisers excluded the last rider every day, to encourage more competitive racing.[n 7]
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Prize money has always been awarded. From 20,000 francs the first year,[106]
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prize money has increased each year, although from 1976 to 1987 the first prize was an apartment offered by a race sponsor. The first prize in 1988 was a car, a studio-apartment, a work of art, and 500,000 francs in cash. Prizes only in cash returned in 1990.[107]
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Prizes and bonuses are awarded for daily placings and final placings at the end of the race. In 2009, the winner received 450,000 €, while each of the 21 stage winners won 8,000 € (10,000 € for the team time-trial stage). The winners of the points classification and mountains classification each win 25,000 €, the young rider competition and the combativity prize 20,000 €; the winner of the team classification (calculated by adding the cumulative times of the best three riders in each team) receives 50 000 €.[108]
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The Souvenir Henri Desgrange, in memory of the founder of the Tour, is awarded to the first rider over the Col du Galibier where his monument stands,[108] or to the first rider over the highest col in the Tour. A similar award, the Souvenir Jacques Goddet, is made at the summit of the Col du Tourmalet, at the memorial to Jacques Goddet, Desgrange's successor.
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The modern tour typically has 21 stages, one per day.
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The Tour directors categorise mass-start stages into 'flat', 'hilly', or 'mountain'.[109] This affects the points awarded in the sprint classification, whether the 3 kilometer rule is operational, and the permitted disqualification time in which riders must finish (which is the winners' time plus a pre-determined percentage of that time).[110] Time bonuses of 10, 6, and 4 seconds are awarded to the first three finishers, though this was not done from 2008 to 2014.[111] Bonuses were previously also awarded to winners of intermediate sprints.
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The first time trial in the Tour was between La Roche-sur-Yon and Nantes (80 km) in 1934.[112] The first stage in modern Tours is often a short trial, a prologue, to decide who wears yellow on the opening day. The first prologue was in 1967.[64] The 1988 event, at La Baule, was called "la préface".[113] There are usually two or three time trials. The final time trial has sometimes been the final stage, more recently often the penultimate stage.
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Since 1975 the race has finished with laps of the Champs-Élysées. As the peloton arrives in downtown Paris the French Air Force does a three-jet flyover with the three colors of the French flag in smoke behind them. This stage rarely challenges the leader because it is flat and the leader usually has too much time in hand to be denied. In modern times, there tends to be a gentlemen's agreement: while the points classification is still contended if possible, the overall classification is not fought over; because of this, it is not uncommon for the de facto winner of the overall classification to ride into Paris holding a glass of champagne. The only time the Maillot Jaune was attacked in a manner that lasted all the way through the end of this stage was during the 1979 Tour de France. In 1987, Pedro Delgado vowed to attack during the stage to challenge the 40-second lead held by Stephen Roche. He was unsuccessful and he and Roche finished in the peloton.[114] In 2005, controversy arose when Alexander Vinokourov attacked and won the stage, in the process taking fifth place overall from Levi Leipheimer.[115] This attack was not a threat to the overall lead, but was a long-shot at the Podium standings, as Vinokourov was about five minutes behind 3rd place.
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In 1989 the last stage was a time trial. Greg LeMond overtook Laurent Fignon to win by eight seconds, the closest margin in the Tour's history.[116]
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The climb of Alpe d'Huez has become one of the more noted mountain stages. During the 2004 Tour de France it was the scene of a 15.5 kilometres (9.6 mi) mountain time trial on the 16th stage. Riders complained of abusive spectators who threatened their progress up the climb.[117][118] On this stage it is not uncommon for a low end estimate of the spectators in attendance to number 300,000. During a famous head to head battle between Anquetil and Raymond Poulidor on Puy de Dome it was estimated that at least a half a million people were on hand.[119] Mont Ventoux is often claimed to be the hardest in the Tour because of the harsh conditions. Another notable mountain stage frequently featured climbs the Col du Tourmalet, the most visited mountain in the history of the Tour. Col du Galibier is the most visited mountain in the Alps. The 2011 Tour de France stage to Galibier marked the 100th anniversary of the mountain in the Tour and also boasted the highest finish altitude ever: 2,645 metres (8,678 ft).[120] Some mountain stages have become memorable because of the weather. An example is a stage in 1996 Tour de France from Val-d'Isère to Sestriere. A snowstorm at the start area led to a shortening of the stage from 190 kilometres (120 mi) to just 46 kilometres (29 mi). During the 2019 Tour de France multiple landslides and hail storms forced two critical mountain stages to be considerably shortened. Authorities made every effort to plow the road and make the course safe, but the volume of hail, mud and debris proved too much.[121]
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To host a stage start or finish brings prestige and business to a town. The prologue and first stage (Grand Départ) are particularly prestigious. The race may start with a prologue (too short to go between towns) in which case the start of the next day's racing, which would be considered stage 1, would usually be in the same town. In 2007 director Christian Prudhomme said that "in general, for a period of five years we have the Tour start outside France three times and within France twice."[122]
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With the switch to the use of national teams in 1930, the costs of accommodating riders fell to the organizers instead of the sponsors and Henri Desgrange raised the money by allowing advertisers to precede the race. The procession of often colourfully decorated trucks and cars became known as the publicity caravan. It formalised an existing situation, companies having started to follow the race. The first to sign to precede the Tour was the chocolate company, Menier, one of those who had followed the race. Its head of publicity, Paul Thévenin, had first put the idea to Desgrange.[123] It paid 50,000 francs. Preceding the race was more attractive to advertisers because spectators gathered by the road long before the race or could be attracted from their houses. Advertisers following the race found that many who had watched the race had already gone home. Menier handed out tons of chocolate in that first year of preceding the race, as well as 500,000 policemen's hats printed with the company's name. The success led to the caravan's existence being formalised the following year.
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The caravan was at its height between 1930 and the mid-1960s, before television and especially television advertising was established in France. Advertisers competed to attract public attention. Motorcycle acrobats performed for the Cinzano apéritif company and a toothpaste maker, and an accordionist, Yvette Horner, became one of the most popular sights as she performed on the roof of a Citroën Traction Avant.[124] The modern Tour restricts the excesses to which advertisers are allowed to go but at first anything was allowed. The writer Pierre Bost[n 8] lamented: "This caravan of 60 gaudy trucks singing across the countryside the virtues of an apéritif, a make of underpants or a dustbin is a shameful spectacle. It bellows, it plays ugly music, it's sad, it's ugly, it smells of vulgarity and money."[125]
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Advertisers pay the Société du Tour de France approximately €150,000 to place three vehicles in the caravan.[126] Some have more. On top of that come the more considerable costs of the commercial samples that are thrown to the crowd and the cost of accommodating the drivers and the staff—frequently students—who throw them. The number of items has been estimated at 11 million, each person in the procession giving out 3,000 to 5,000 items a day.[126] A bank, GAN, gave out 170,000 caps, 80,000 badges, 60,000 plastic bags, and 535,000 copies of its race newspaper in 1994. Together, they weighed 32 tonnes (31 long tons; 35 short tons).[127] The vehicles also have to be decorated on the morning of each stage and, because they must return to ordinary highway standards, disassembled after each stage. Numbers vary but there are normally around 250 vehicles each year. Their order on the road is established by contract, the leading vehicles belonging to the largest sponsors.
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The procession sets off two hours before the start and then regroups to precede the riders by an hour and a half. It spreads 20–25 kilometres (12–16 mi) and takes 40 minutes to pass at between 20 kilometres per hour (12 mph) and 60 kilometres per hour (37 mph). Vehicles travel in groups of five. Their position is logged by GPS and from an aircraft and organised on the road by the caravan director—Jean-Pierre Lachaud[n 9]—an assistant, three motorcyclists, two radio technicians, and a breakdown and medical crew.[126] Six motorcyclists from the Garde Républicaine, the élite of the gendarmerie, ride with them.[127]
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The first three Tours from 1903–1905 stayed within France. The 1906 race went into Alsace-Lorraine, territory annexed by the German Empire in 1871 after the Franco-Prussian War. Passage was secured through a meeting at Metz between Desgrange's collaborator, Alphonse Steinès, and the German governor.
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No teams from Italy, Germany, or Spain rode in 1939 because of tensions preceding the Second World War (after German assistance to the Nationalists in the Spanish Civil War it was widely expected Spain would join Germany in a European war, though this did not come to pass). Henri Desgrange planned a Tour for 1940, after war had started but before France had been invaded. The route, approved by military authorities, included a route along the Maginot Line.[128] Teams would have been drawn from military units in France, including the British, who would have been organised by a journalist, Bill Mills.[128] Then the Germans invaded and the race was not held again until 1947 (see Tour de France during the Second World War). The first German team after the war was in 1960, although individual Germans had ridden in mixed teams. The Tour has since started in Germany four times: in Cologne in 1965, in Frankfurt in 1980, in West Berlin on the city's 750th anniversary in 1987, and in Düsseldorf in 2017. Plans to enter East Germany in 1987 were abandoned.
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Prior to 2013, the Tour de France had visited every region of Metropolitan France except Corsica.[129] Jean-Marie Leblanc, when he was organiser, said the island had never asked for a stage start there. It would be difficult to find accommodation for 4,000 people, he said.[130] The spokesman of the Corsican nationalist party Party of the Corsican Nation, François Alfonsi, said: "The organisers must be afraid of terrorist attacks. If they are really thinking of a possible terrorist action, they are wrong. Our movement, which is nationalist and in favour of self-government, would be delighted if the Tour came to Corsica."[130] The opening three stages of the 2013 Tour de France were held on Corsica as part of the celebrations for the 100th edition of the race.
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Most stages are in mainland France, although since the mid-1950s it has become common to visit nearby countries:[131] Andorra, Belgium, Germany (and the former West Germany), Ireland, Italy, Luxembourg, Monaco, the Netherlands, Spain,
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Switzerland, and the United Kingdom have all hosted stages or part of a stage. Since 1975 the finish has been on the Champs-Élysées in Paris; from 1903 to 1967 the race finished at the Parc des Princes stadium in western Paris and from 1968 to 1974 at the Piste Municipale south of the capital.[104] Feliz Levitan, race organizer in the 1980s, was keen to host stages in the United States, but these proposals have never been developed.[132]
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The following editions of the Tour started, or are planned to start, outside France:[133]
|
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The Tour was first followed only by journalists from L'Auto, the organisers. The race was founded to increase sales of a floundering newspaper and its editor, Desgrange, saw no reason to allow rival publications to profit.
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The first time papers other than L'Auto were allowed was 1921, when 15 press cars were allowed for regional and foreign reporters.[134]
|
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The Tour was shown first on cinema newsreels a day or more after the event. The first live radio broadcast was in 1929, when Jean Antoine and Alex Virot of the newspaper L'Intransigeant broadcast for Radio Cité. They used telephone lines. In 1932 they broadcast the sound of riders crossing the col d'Aubisque in the Pyrenees on 12 July, using a recording machine and transmitting the sound later.
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The first television pictures were shown a day after a stage. The national TV channel used two 16mm cameras, a Jeep, and a motorbike. Film was flown or taken by train to Paris, where it was edited and then shown the following day.
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The first live broadcast, and the second of any sport in France, was the finish at the Parc des Princes in Paris on 25 July 1948.[135] Rik Van Steenbergen of Belgium led in the bunch after a stage of 340 kilometres (210 mi) from Nancy. The first live coverage from the side of the road was from the Aubisque on 8 July 1958. Proposals to cover the whole race were abandoned in 1962 after objections from regional newspapers whose editors feared the competition.[136] The dispute was settled, but not in time for the race, and the first complete coverage was the following year in 1963. In 1958 the first mountain climbs were broadcast live on television for the first time,[137] and in 1959 helicopters were first used for the television coverage.[138]
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The leading television commentator in France was a former rider, Robert Chapatte. At first he was the only commentator. He was joined in following seasons by an analyst for the mountain stages and by a commentator following the competitors by motorcycle.
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Broadcasting in France was largely a state monopoly until 1982, when the socialist president François Mitterrand allowed private broadcasters and privatised the leading television channel. Competition between channels raised the broadcasting fees paid to the organisers from 1.5 per cent of the race budget in 1960 to more than a third by the end of the century.[139] Broadcasting time also increased as channels competed to secure the rights. The two largest channels to stay in public ownership, Antenne 2 and FR3, combined to offer more coverage than its private rival, TF1. The two stations, renamed France 2 and France 3, still hold the domestic rights and provide pictures for broadcasters around the world.
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The stations use a staff of 300 with four helicopters, two aircraft, two motorcycles, 35 other vehicles including trucks, and 20 podium cameras.[n 10]
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French aviation company Hélicoptères de France (HdF) has provided aerial filming services for the Tour since 1999. HdF operates Eurocopter AS355 Écureuil 2 and AS350 Écureuil helicopters for this purpose, and the pilots undergo training along the course for six months before the race.[140][141]
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Domestic television covers the most important stages of the Tour, such as those in the mountains, from mid-morning until early evening. Coverage typically starts with a survey of the day's route, interviews along the road, discussions of the difficulties and tactics ahead, and a 30-minute archive feature. The biggest stages are shown live from start to end, followed by interviews with riders and others and features such an edited version of the stage seen from beside a team manager following and advising riders from his car. Radio covers the race in updates throughout the day, particularly on the national news channel, France Info, and some stations provide continuous commentary on long wave. The 1979 Tour was the first to be broadcast in the United States.[142]
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The combination of unprecedented rigorous doping controls and almost no positive tests helped restore fans' confidence in the 2009 Tour de France. This led directly to an increase in global popularity of the event. The most watched stage of 2009 was stage 20, from Montélimar to Mont Ventoux in Provence, with a global total audience of 44 million, making it the 12th most watched sporting event in the world in 2009.[143]
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The Tour is an important cultural event for fans in Europe. Millions[144] line the route, some having camped for a week to get the best view. Crowds flanking the course are reminiscent of the community festivals that are part of another form of cycle racing in a different country – the Isle of Man TT.[145]
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The Tour de France appealed from the start not just for the distance and its demands but because it played to a wish for national unity,[146] a call to what Maurice Barrès called the France "of earth and deaths" or what Georges Vigarello called "the image of a France united by its earth."[147]
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The image had been started by the 1877 travel/school book Le Tour de la France par deux enfants.[n 11] It told of two boys, André and Julien, who "in a thick September fog left the town of Phalsbourg in Lorraine to see France at a time when few people had gone far beyond their nearest town."
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The book sold six million copies by the time of the first Tour de France,[146] the biggest selling book of 19th-century France (other than the Bible).[148] It stimulated a national interest in France, making it "visible and alive", as its preface said. There had already been a car race called the Tour de France but it was the publicity behind the cycling race, and Desgrange's drive to educate and improve the population,[149] that inspired the French to know more of their country.[150]
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The academic historians Jean-Luc Boeuf and Yves Léonard say most people in France had little idea of the shape of their country until L'Auto began publishing maps of the race.[151]
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The Tour has inspired several popular songs in France, notably P'tit gars du Tour (1932), Les Tours de France (1936) and Faire le Tour de France (1950). German electronic group Kraftwerk composed "Tour de France" in 1983 – described as a minimalistic "melding of man and machine"[152] – and produced an album, Tour de France Soundtracks in 2003, the centenary of the Tour.
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The Tour and its first Italian winner, Ottavio Bottecchia, are mentioned at the end of Ernest Hemingway's The Sun Also Rises.[153]
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In films, the Tour was background for Five Red Tulips (1949) by Jean Stelli, in which five riders are murdered. A burlesque in 1967, Les Cracks by Alex Joffé, with Bourvil et Monique Tarbès, also featured it. Footage of the 1970 Tour de France is shown in Jorgen Leth's experimental short Eddy Merckx in the Vicinity of a Cup of Coffee. Patrick Le Gall made Chacun son Tour (1996). The comedy, Le Vélo de Ghislain Lambert (2001), featured the Tour of 1974.
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In 2005, three films chronicled a team. The German Höllentour, translated as Hell on Wheels, recorded 2003 from the perspective of Team Telekom. The film was directed by Pepe Danquart, who won an Academy Award for live-action short film in 1993 for Black Rider (Schwarzfahrer).[154] The Danish film Overcoming by Tómas Gislason recorded the 2004 Tour from the perspective of Team CSC.
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Wired to Win chronicles Française des Jeux riders Baden Cooke and Jimmy Caspar in 2003. By following their quest for the points classification, won by Cooke, the film looks at the working of the brain. The film, made for IMAX theaters, appeared in December 2005. It was directed by Bayley Silleck, who was nominated for an Academy Award for documentary short subject in 1996 for Cosmic Voyage.[155]
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A fan, Scott Coady, followed the 2000 Tour with a handheld video camera to make The Tour Baby!,[156] which raised $160,000 to benefit the Lance Armstrong Foundation,[157] and made a 2005 sequel, Tour Baby Deux!.[158]
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Vive Le Tour by Louis Malle is an 18-minute short of 1962. The 1965 Tour was filmed by Claude Lelouch in Pour un Maillot Jaune. This 30-minute documentary has no narration and relies on sights and sounds of the Tour.
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In fiction, the 2003 animated feature Les Triplettes de Belleville (The Triplets of Belleville) ties into the Tour de France.
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After the Tour de France there are criteriums in the Netherlands and Belgium. These races are public spectacles where thousands of people can see their heroes from the Tour de France race. The budget of a criterium is over 100,000 Euro, with most of the money going to the riders. Jersey winners or big-name riders earn between 20 and 60 thousand euros per race in start money.[159]
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Allegations of doping have plagued the Tour almost since 1903. Early riders consumed alcohol and used ether, to dull the pain.[160] Over the years they began to increase performance and the Union Cycliste Internationale and governments enacted policies to combat the practice.
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In 1924, Henri Pélissier and his brother Charles told the journalist Albert Londres they used strychnine, cocaine, chloroform, aspirin, "horse ointment" and other drugs.[161] The story was published in Le Petit Parisien under the title Les Forçats de la Route ('The Convicts of the Road')[17][162][163][164]
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On 13 July 1967, British cyclist Tom Simpson died climbing Mont Ventoux after taking amphetamine.
|
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In 1998, the "Tour of Shame", Willy Voet, soigneur for the Festina team, was arrested with erythropoietin (EPO), growth hormones, testosterone and amphetamine. Police raided team hotels and found products in the possession of the cycling team TVM. Riders went on strike. After mediation by director Jean-Marie Leblanc, police limited their tactics and riders continued. Some riders had dropped out and only 96 finished the race. It became clear in a trial that management and health officials of the Festina team had organised the doping.
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Further measures were introduced by race organisers and the UCI, including more frequent testing and tests for blood doping (transfusions and EPO use). This would lead the UCI to becoming a particularly interested party in an International Olympic Committee initiative, the World Anti-Doping Agency (WADA), created in 1999. In 2002, the wife of Raimondas Rumšas, third in the 2002 Tour de France, was arrested after EPO and anabolic steroids were found in her car. Rumšas, who had not failed a test, was not penalised. In 2004, Philippe Gaumont said doping was endemic to his Cofidis team. Fellow Cofidis rider David Millar confessed to EPO after his home was raided. In the same year, Jesus Manzano, a rider with the Kelme team, alleged he had been forced by his team to use banned substances.[165]
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From 1999 to 2006, seven successive tours were declared as having been won by Lance Armstrong.[166] In August 2005, one month after Armstrong's seventh apparent victory, L'Équipe published documents it said showed Armstrong had used EPO in the 1999 race.[167][168] At the same Tour, Armstrong's urine showed traces of a glucocorticosteroid hormone, although below the positive threshold. He said he had used skin cream containing triamcinolone to treat saddle sores.[169] Armstrong said he had received permission from the UCI to use this cream.[170] Further allegations ultimately culminated in the United States Anti Doping Agency (USADA) disqualifying him from all his victories since 1 August 1998, including his seven consecutive Tour de France victories, and a lifetime ban from competing in professional sports.[171] The ASO declined to name any other rider as winner in Armstrong's stead in those years.
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The 2006 Tour had been plagued by the Operación Puerto doping case before it began. Favourites such as Jan Ullrich and Ivan Basso were banned by their teams a day before the start. Seventeen riders were implicated. American rider Floyd Landis, who finished the Tour as holder of the overall lead, had tested positive for testosterone after he won stage 17, but this was not confirmed until some two weeks after the race finished. On 30 June 2008 Landis lost his appeal to the Court of Arbitration for Sport, and Óscar Pereiro was named as winner.[172]
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On 24 May 2007, Erik Zabel admitted using EPO during the first week of the 1996 Tour,[173] when he won the points classification. Following his plea that other cyclists admit to drugs, former winner Bjarne Riis admitted in Copenhagen on 25 May 2007 that he used EPO regularly from 1993 to 1998, including when he won the 1996 Tour.[174] His admission meant the top three in 1996 were all linked to doping, two admitting cheating. On 24 July 2007 Alexander Vinokourov tested positive for a blood transfusion (blood doping) after winning a time trial, prompting his Astana team to pull out and police to raid the team's hotel.[175] The next day Cristian Moreni tested positive for testosterone. His Cofidis team pulled out.[176]
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The same day, leader Michael Rasmussen was removed for "violating internal team rules" by missing random tests on 9 May and 28 June. Rasmussen claimed to have been in Mexico. The Italian journalist Davide Cassani told Danish television he had seen Rasmussen in Italy. The alleged lying prompted Rasmussen's firing by Rabobank.[177]
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On 11 July 2008 Manuel Beltrán tested positive for EPO after the first stage.[178] On 17 July 2008, Riccardo Riccò tested positive for continuous erythropoiesis receptor activator, a variant of EPO,[179] after the fourth stage. In October 2008, it was revealed that Riccò's teammate and Stage 10 winner Leonardo Piepoli, as well as Stefan Schumacher[180] – who won both time trials – and Bernhard Kohl[181] – third on general classification and King of the Mountains – had tested positive.
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After winning the 2010 Tour de France, it was announced that Alberto Contador had tested positive for low levels of clenbuterol on 21 July rest day.[182] On 26 January 2011, the Spanish Cycling Federation proposed a 1-year ban[183] but reversed its ruling on 15 February and cleared Contador to race.[184] Despite a pending appeal by the UCI, Contador finished 5th overall in the 2011 Tour de France, but in February 2012, Contador was suspended and stripped of his 2010 victory.[185]
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During the 2012 Tour, the 3rd placed rider from 2011, Fränk Schleck tested positive for the banned diuretic Xipamide and was immediately disqualified from the Tour.[citation needed]
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In October 2012, the United States Anti-Doping Agency released a report on doping by the U.S. Postal Service cycling team, implicating, amongst others, Armstrong. The report contained affidavits from riders including Frankie Andreu, Tyler Hamilton, George Hincapie, Floyd Landis, Levi Leipheimer, and others describing widespread use of Erythropoietin (EPO), blood transfusion, testosterone, and other banned practices in several Tours.[186] In October 2012 the UCI acted upon this report, formally stripping Armstrong of all titles since 1 August 1998, including all seven Tour victories,[187] and announced that his Tour wins would not be reallocated to other riders.[188]
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Cyclists who have died during the Tour de France:
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Another seven fatal accidents have occurred:
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One rider has been King of the Mountains, won the combination classification, combativity award, the points competition, and the Tour in the same year—Eddy Merckx in 1969, which was also the first year he participated.[193] The following year he came close to repeating the feat, but was five points behind the winner in the points classification. The only other rider to come close to this achievement is Bernard Hinault in 1979, who won the overall and points competitions and placed second in the mountains classification.
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Twice the Tour was won by a racer who never wore the yellow jersey until the race was over. In 1947, Jean Robic overturned a three-minute deficit on the 257 kilometres (160 mi) final stage into Paris. In 1968, Jan Janssen of the Netherlands secured his win in the individual time trial on the last day.
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The Tour has been won three times by racers who led the general classification on the first stage and holding the lead all the way to Paris. Maurice Garin did it during the Tour's very first edition, 1903; he repeated the feat the next year, but the results were nullified by the officials as a response to widespread cheating. Ottavio Bottecchia completed a GC start-to-finish sweep in 1924. And in 1928, Nicolas Frantz held the GC for the entire race, and at the end, the podium consisted solely of members of his racing team. While no one has equalled this feat since 1928, four times a racer has taken over the GC lead on the second stage and carried that lead all the way to Paris. It is worth noting that Jacques Anquetil predicted he would wear the yellow jersey as leader of the general classification from start to finish in 1961, which he did. That year, the first day had two stages, the first part from Rouen to Versailles and the second part from Versailles to Versailles. No yellow jersey was awarded after the first part, and at the end of the day Anquetil was in yellow.[194]
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The most appearances have been by Sylvain Chavanel, who rode his 18th and final Tour in 2018. Prior to Chavenel's final Tour, he shared the record with George Hincapie with 17. In light of Hincapie's suspension for use of performance-enhancing drugs, before which he held the mark for most consecutive finishes with sixteen, having completed all but his very first, Joop Zoetemelk and Chavanel share the record for the most finishes at 16, with Zoetemelk having completed all 16 of the Tours that he started. Of these 16 Tours Zoetemelk came in the top five 11 times, a record, finished second 6 times, a record, and won the 1980 Tour de France.
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In the early years of the Tour, cyclists rode individually, and were sometimes forbidden to ride together. This led to large gaps between the winner and the number two. Since the cyclists now tend to stay together in a peloton, the margins of the winner have become smaller, as the difference usually originates from time trials, breakaways or on mountain top finishes, or from being left behind the peloton. The smallest margins between the winner and the second placed cyclists at the end of the Tour is 8 seconds between winner Greg LeMond and Laurent Fignon in 1989. The largest margin, by comparison, remains that of the first Tour in 1903: 2h 49m 45s between Maurice Garin and Lucien Pothier.[195]
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The most podium places by a single rider is eight by Raymond Poulidor, followed by Bernard Hinault and Joop Zoetemelk with seven. Poulidor never finished in 1st place and neither Hinault nor Zoetemelk ever finished in 3rd place.[196]
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Three riders have won 8 stages in a single year: Charles Pélissier (1930[197]), Eddy Merckx (1970, 1974[198]), and Freddy Maertens (1976[199]). Mark Cavendish has the most mass finish stage wins with 30 as of stage 14 in 2016, ahead of André Darrigade and André Leducq with 22, François Faber with 19, and Eddy Merckx with 18.[200] The youngest Tour de France stage winner is Fabio Battesini, who was 19 when he won one stage in the 1931 Tour de France.[201]
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The fastest massed-start stage was in 1999 from Laval to Blois (194.5 kilometres (120.9 mi)), won by Mario Cipollini at 50.4 kilometres per hour (31.3 mph).[202] The fastest time-trial is Rohan Dennis' stage 1 of the 2015 Tour de France in Utrecht, won at an average of 55.446 kilometres per hour (34.453 mph).[203][204] The fastest stage win was by the 2013 Orica GreenEDGE team in a team time-trial. It completed the 25 kilometres (16 mi) in Nice (stage 5) at 57.8 kilometres per hour (35.9 mph).[205][206]
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The longest successful post-war breakaway by a single rider was by Albert Bourlon in the 1947 Tour de France. In the Carcassone-Luchon stage, he stayed away for 253 kilometres (157 mi).[207] It was one of seven breakaways longer than 200 kilometres (120 mi), the last being Thierry Marie's 234 kilometres (145 mi) escape in 1991.[207] Bourlon finished 16 m 30s ahead. This is one of the biggest time gaps but not the greatest. That record belongs to José-Luis Viejo, who beat the peloton by just over 23:00 and the second place rider by 22 m 50s in the Montgenèvre-Manosque stage in 1976.[207] He was the fourth and most recent rider to win a stage by more than 20 minutes.
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Four riders have won five times: Jacques Anquetil (FRA), Eddy Merckx (BEL), Bernard Hinault (FRA), and Miguel Indurain (ESP). Indurain achieved the mark with a record five consecutive wins.
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Basketball is a team sport in which two teams, most commonly of five players each, opposing one another on a rectangular court, compete with the primary objective of shooting a basketball (approximately 9.4 inches (24 cm) in diameter) through the defender's hoop (a basket 18 inches (46 cm) in diameter mounted 10 feet (3.048 m) high to a backboard at each end of the court) while preventing the opposing team from shooting through their own hoop. A field goal is worth two points, unless made from behind the three-point line, when it is worth three. After a foul, timed play stops and the player fouled or designated to shoot a technical foul is given one or more one-point free throws. The team with the most points at the end of the game wins, but if regulation play expires with the score tied, an additional period of play (overtime) is mandated.
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Players advance the ball by bouncing it while walking or running (dribbling) or by passing it to a teammate, both of which require considerable skill. On offense, players may use a variety of shots—the lay-up, the jump shot, or a dunk; on defense, they may steal the ball from a dribbler, intercept passes, or block shots; either offense or defense may collect a rebound, that is, a missed shot that bounces from rim or backboard. It is a violation to lift or drag one's pivot foot without dribbling the ball, to carry it, or to hold the ball with both hands then resume dribbling.
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The five players on each side fall into five playing positions. The tallest player is usually the center, the second tallest and strongest is the power forward, a slightly shorter but more agile player is the small forward, and the shortest players or the best ball handlers are the shooting guard and the point guard, who implements the coach's game plan by managing the execution of offensive and defensive plays (player positioning). Informally, players may play three-on-three, two-on-two, and one-on-one.
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Invented in 1891 by Canadian-American gym teacher James Naismith in Springfield, Massachusetts, United States, basketball has evolved to become one of the world's most popular and widely viewed sports.[1] The National Basketball Association (NBA) is the most significant professional basketball league in the world in terms of popularity, salaries, talent, and level of competition.[2][3] Outside North America, the top clubs from national leagues qualify to continental championships such as the EuroLeague and the Basketball Champions League Americas. The FIBA Basketball World Cup and Men's Olympic Basketball Tournament are the major international events of the sport and attract top national teams from around the world. Each continent hosts regional competitions for national teams, like EuroBasket and FIBA AmeriCup.
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The FIBA Women's Basketball World Cup and Women's Olympic Basketball Tournament feature top national teams from continental championships. The main North American league is the WNBA (NCAA Women's Division I Basketball Championship is also popular), whereas strongest European clubs participate in the EuroLeague Women.
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In early December 1891, Canadian James Naismith,[4] a physical education professor and instructor at the International Young Men's Christian Association Training School[5] (YMCA) (today, Springfield College) in Springfield, Massachusetts, was trying to keep his gym class active on a rainy day. He sought a vigorous indoor game to keep his students occupied and at proper levels of fitness during the long New England winters. After rejecting other ideas as either too rough or poorly suited to walled-in gymnasiums, he wrote the basic rules and nailed a peach basket onto an elevated track. In contrast with modern basketball nets, this peach basket retained its bottom, and balls had to be retrieved manually after each "basket" or point scored; this proved inefficient, however, so the bottom of the basket was removed, allowing the balls to be poked out with a long dowel each time.
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Basketball was originally played with a soccer ball. These round balls from "association football" were made, at the time, with a set of laces to close off the hole needed for inserting the inflatable bladder after the other sewn-together segments of the ball's cover had been flipped outside-in.[6][7] These laces could cause bounce passes and dribbling to be unpredictable.[8] Eventually a lace-free ball construction method was invented, and this change to the game was endorsed by Naismith. (Whereas in American football, the lace construction proved to be advantageous for gripping and remains to this day.) The first balls made specifically for basketball were brown, and it was only in the late 1950s that Tony Hinkle, searching for a ball that would be more visible to players and spectators alike, introduced the orange ball that is now in common use. Dribbling was not part of the original game except for the "bounce pass" to teammates. Passing the ball was the primary means of ball movement. Dribbling was eventually introduced but limited by the asymmetric shape of early balls.[dubious – discuss] Dribbling was common by 1896, with a rule against the double dribble by 1898.[9]
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The peach baskets were used until 1906 when they were finally replaced by metal hoops with backboards. A further change was soon made, so the ball merely passed through. Whenever a person got the ball in the basket, his team would gain a point. Whichever team got the most points won the game.[10] The baskets were originally nailed to the mezzanine balcony of the playing court, but this proved impractical when spectators in the balcony began to interfere with shots. The backboard was introduced to prevent this interference; it had the additional effect of allowing rebound shots.[11] Naismith's handwritten diaries, discovered by his granddaughter in early 2006, indicate that he was nervous about the new game he had invented, which incorporated rules from a children's game called duck on a rock, as many had failed before it.
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Frank Mahan, one of the players from the original first game, approached Naismith after the Christmas break, in early 1892, asking him what he intended to call his new game. Naismith replied that he hadn't thought of it because he had been focused on just getting the game started. Mahan suggested that it be called "Naismith ball", at which he laughed, saying that a name like that would kill any game. Mahan then said, "Why not call it basketball?" Naismith replied, "We have a basket and a ball, and it seems to me that would be a good name for it."[12][13] The first official game was played in the YMCA gymnasium in Albany, New York, on January 20, 1892, with nine players. The game ended at 1–0; the shot was made from 25 feet (7.6 m), on a court just half the size of a present-day Streetball or National Basketball Association (NBA) court.
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At the time, football was being played with 10 to a team (which was increased to 11). When winter weather got too icy to play football, teams were taken indoors, and it was convenient to have them split in half and play basketball with five on each side. By 1897–1898 teams of five became standard.
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Basketball's early adherents were dispatched to YMCAs throughout the United States, and it quickly spread through the United States and Canada. By 1895, it was well established at several women's high schools. While YMCA was responsible for initially developing and spreading the game, within a decade it discouraged the new sport, as rough play and rowdy crowds began to detract from YMCA's primary mission. However, other amateur sports clubs, colleges, and professional clubs quickly filled the void. In the years before World War I, the Amateur Athletic Union and the Intercollegiate Athletic Association of the United States (forerunner of the NCAA) vied for control over the rules for the game. The first pro league, the National Basketball League, was formed in 1898 to protect players from exploitation and to promote a less rough game. This league only lasted five years.
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James Naismith was instrumental in establishing college basketball. His colleague C.O. Beamis fielded the first college basketball team just a year after the Springfield YMCA game at the suburban Pittsburgh Geneva College.[14] Naismith himself later coached at the University of Kansas for six years, before handing the reins to renowned coach Forrest "Phog" Allen. Naismith's disciple Amos Alonzo Stagg brought basketball to the University of Chicago, while Adolph Rupp, a student of Naismith's at Kansas, enjoyed great success as coach at the University of Kentucky. On February 9, 1895, the first intercollegiate 5-on-5 game was played at Hamline University between Hamline and the School of Agriculture, which was affiliated with the University of Minnesota.[15][16][17] The School of Agriculture won in a 9–3 game.
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In 1901, colleges, including the University of Chicago, Columbia University, Cornell University, Dartmouth College, the University of Minnesota, the U.S. Naval Academy, the University of Colorado and Yale University began sponsoring men's games. In 1905, frequent injuries on the football field prompted President Theodore Roosevelt to suggest that colleges form a governing body, resulting in the creation of the Intercollegiate Athletic Association of the United States (IAAUS). In 1910, that body would change its name to the National Collegiate Athletic Association (NCAA). The first Canadian interuniversity basketball game was played at YMCA in Kingston, Ontario on February 6, 1904, when McGill University—Naismith's alma mater—visited Queen's University. McGill won 9–7 in overtime; the score was 7–7 at the end of regulation play, and a ten-minute overtime period settled the outcome. A good turnout of spectators watched the game.[18]
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The first men's national championship tournament, the National Association of Intercollegiate Basketball tournament, which still exists as the National Association of Intercollegiate Athletics (NAIA) tournament, was organized in 1937. The first national championship for NCAA teams, the National Invitation Tournament (NIT) in New York, was organized in 1938; the NCAA national tournament would begin one year later. College basketball was rocked by gambling scandals from 1948 to 1951, when dozens of players from top teams were implicated in match fixing and point shaving. Partially spurred by an association with cheating, the NIT lost support to the NCAA tournament.
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Before widespread school district consolidation, most American high schools were far smaller than their present-day counterparts. During the first decades of the 20th century, basketball quickly became the ideal interscholastic sport due to its modest equipment and personnel requirements. In the days before widespread television coverage of professional and college sports, the popularity of high school basketball was unrivaled in many parts of America. Perhaps the most legendary of high school teams was Indiana's Franklin Wonder Five, which took the nation by storm during the 1920s, dominating Indiana basketball and earning national recognition.
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Today virtually every high school in the United States fields a basketball team in varsity competition.[19] Basketball's popularity remains high, both in rural areas where they carry the identification of the entire community, as well as at some larger schools known for their basketball teams where many players go on to participate at higher levels of competition after graduation. In the 2016–17 season, 980,673 boys and girls represented their schools in interscholastic basketball competition, according to the National Federation of State High School Associations.[20] The states of Illinois, Indiana and Kentucky are particularly well known for their residents' devotion to high school basketball, commonly called Hoosier Hysteria in Indiana; the critically acclaimed film Hoosiers shows high school basketball's depth of meaning to these communities.
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There is currently no tournament to determine a national high school champion. The most serious effort was the National Interscholastic Basketball Tournament at the University of Chicago from 1917 to 1930. The event was organized by Amos Alonzo Stagg and sent invitations to state champion teams. The tournament started out as a mostly Midwest affair but grew. In 1929 it had 29 state champions. Faced with opposition from the National Federation of State High School Associations and North Central Association of Colleges and Schools that bore a threat of the schools losing their accreditation the last tournament was in 1930. The organizations said they were concerned that the tournament was being used to recruit professional players from the prep ranks.[21] The tournament did not invite minority schools or private/parochial schools.
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The National Catholic Interscholastic Basketball Tournament ran from 1924 to 1941 at Loyola University.[22] The National Catholic Invitational Basketball Tournament from 1954 to 1978 played at a series of venues, including Catholic University, Georgetown and George Mason.[23] The National Interscholastic Basketball Tournament for Black High Schools was held from 1929 to 1942 at Hampton Institute.[24] The National Invitational Interscholastic Basketball Tournament was held from 1941 to 1967 starting out at Tuskegee Institute. Following a pause during World War II it resumed at Tennessee State College in Nashville. The basis for the champion dwindled after 1954 when Brown v. Board of Education began an integration of schools. The last tournaments were held at Alabama State College from 1964 to 1967.[25]
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Teams abounded throughout the 1920s. There were hundreds of men's professional basketball teams in towns and cities all over the United States, and little organization of the professional game. Players jumped from team to team and teams played in armories and smoky dance halls. Leagues came and went. Barnstorming squads such as the Original Celtics and two all-African American teams, the New York Renaissance Five ("Rens") and the (still existing) Harlem Globetrotters played up to two hundred games a year on their national tours.
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In 1946, the Basketball Association of America (BAA) was formed. The first game was played in Toronto, Ontario, Canada between the Toronto Huskies and New York Knickerbockers on November 1, 1946. Three seasons later, in 1949, the BAA merged with the National Basketball League (NBL) to form the National Basketball Association (NBA). By the 1950s, basketball had become a major college sport, thus paving the way for a growth of interest in professional basketball. In 1959, a basketball hall of fame was founded in Springfield, Massachusetts, site of the first game. Its rosters include the names of great players, coaches, referees and people who have contributed significantly to the development of the game. The hall of fame has people who have accomplished many goals in their career in basketball. An upstart organization, the American Basketball Association, emerged in 1967 and briefly threatened the NBA's dominance until the ABA-NBA merger in 1976. Today the NBA is the top professional basketball league in the world in terms of popularity, salaries, talent, and level of competition.
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The NBA has featured many famous players, including George Mikan, the first dominating "big man"; ball-handling wizard Bob Cousy and defensive genius Bill Russell of the Boston Celtics; charismatic center Wilt Chamberlain, who originally played for the barnstorming Harlem Globetrotters; all-around stars Oscar Robertson and Jerry West; more recent big men Kareem Abdul-Jabbar, Shaquille O'Neal, Hakeem Olajuwon and Karl Malone; playmakers John Stockton, Isiah Thomas and Steve Nash; crowd-pleasing forwards Julius Erving and Charles Barkley; European stars Dirk Nowitzki, Pau Gasol and Tony Parker; more recent superstars LeBron James, Allen Iverson and Kobe Bryant; and the three players who many credit with ushering the professional game to its highest level of popularity during the 1980s and 1990s: Larry Bird, Earvin "Magic" Johnson, and Michael Jordan.
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In 2001, the NBA formed a developmental league, the National Basketball Development League (later known as the NBA D-League and then the NBA G League after a branding deal with Gatorade). As of the 2018–19 season, the G League has 27 teams.
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FIBA (International Basketball Federation) was formed in 1932 by eight founding nations: Argentina, Czechoslovakia, Greece, Italy, Latvia, Portugal, Romania and Switzerland. At this time, the organization only oversaw amateur players. Its acronym, derived from the French Fédération Internationale de Basket-ball Amateur, was thus "FIBA". Men's basketball was first included at the Berlin 1936 Summer Olympics, although a demonstration tournament was held in 1904. The United States defeated Canada in the first final, played outdoors. This competition has usually been dominated by the United States, whose team has won all but three titles. The first of these came in a controversial final game in Munich in 1972 against the Soviet Union, in which the ending of the game was replayed three times until the Soviet Union finally came out on top.[26] In 1950 the first FIBA World Championship for men, now known as the FIBA Basketball World Cup, was held in Argentina. Three years later, the first FIBA World Championship for women, now known as the FIBA Women's Basketball World Cup, was held in Chile. Women's basketball was added to the Olympics in 1976, which were held in Montreal, Quebec, Canada with teams such as the Soviet Union, Brazil and Australia rivaling the American squads.
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In 1989, FIBA allowed professional NBA players to participate in the Olympics for the first time. Prior to the 1992 Summer Olympics, only European and South American teams were allowed to field professionals in the Olympics. The United States' dominance continued with the introduction of the original Dream Team. In the 2004 Athens Olympics, the United States suffered its first Olympic loss while using professional players, falling to Puerto Rico (in a 19-point loss) and Lithuania in group games, and being eliminated in the semifinals by Argentina. It eventually won the bronze medal defeating Lithuania, finishing behind Argentina and Italy. The Redeem Team, won gold at the 2008 Olympics, and the B-Team, won gold at the 2010 FIBA World Championship in Turkey despite featuring no players from the 2008 squad. The United States continued its dominance as they won gold at the 2012 Olympics, 2014 FIBA World Cup and the 2016 Olympics.
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Worldwide, basketball tournaments are held for boys and girls of all age levels. The global popularity of the sport is reflected in the nationalities represented in the NBA. Players from all six inhabited continents currently play in the NBA. Top international players began coming into the NBA in the mid-1990s, including Croatians Dražen Petrović and Toni Kukoč, Serbian Vlade Divac, Lithuanians Arvydas Sabonis and Šarūnas Marčiulionis, Dutchman Rik Smits and German Detlef Schrempf.
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In the Philippines, the Philippine Basketball Association's first game was played on April 9, 1975 at the Araneta Coliseum in Cubao, Quezon City. Philippines. It was founded as a "rebellion" of several teams from the now-defunct Manila Industrial and Commercial Athletic Association, which was tightly controlled by the Basketball Association of the Philippines (now defunct), the then-FIBA recognized national association. Nine teams from the MICAA participated in the league's first season that opened on April 9, 1975. The NBL is Australia's pre-eminent men's professional basketball league. The league commenced in 1979, playing a winter season (April–September) and did so until the completion of the 20th season in 1998. The 1998–99 season, which commenced only months later, was the first season after the shift to the current summer season format (October–April). This shift was an attempt to avoid competing directly against Australia's various football codes. It features 8 teams from around Australia and one in New Zealand. A few players including Luc Longley, Andrew Gaze, Shane Heal, Chris Anstey and Andrew Bogut made it big internationally, becoming poster figures for the sport in Australia. The Women's National Basketball League began in 1981.
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Women's basketball began in 1892 at Smith College when Senda Berenson, a physical education teacher, modified Naismith's rules for women. Shortly after she was hired at Smith, she went to Naismith to learn more about the game.[27] Fascinated by the new sport and the values it could teach, she organized the first women's collegiate basketball game on March 21, 1893, when her Smith freshmen and sophomores played against one another.[28] However, the first women's interinstitutional game was played in 1892 between the University of California and Miss Head's School.[29] Berenson's rules were first published in 1899, and two years later she became the editor of A. G. Spalding's first Women's Basketball Guide.[28] Berenson's freshmen played the sophomore class in the first women's intercollegiate basketball game at Smith College, March 21, 1893.[30] The same year, Mount Holyoke and Sophie Newcomb College (coached by Clara Gregory Baer) women began playing basketball. By 1895, the game had spread to colleges across the country, including Wellesley, Vassar, and Bryn Mawr. The first intercollegiate women's game was on April 4, 1896. Stanford women played Berkeley, 9-on-9, ending in a 2–1 Stanford victory.
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Women's basketball development was more structured than that for men in the early years. In 1905, the Executive Committee on Basket Ball Rules (National Women's Basketball Committee) was created by the American Physical Education Association.[31] These rules called for six to nine players per team and 11 officials. The International Women's Sports Federation (1924) included a women's basketball competition. 37 women's high school varsity basketball or state tournaments were held by 1925. And in 1926, the Amateur Athletic Union backed the first national women's basketball championship, complete with men's rules.[31] The Edmonton Grads, a touring Canadian women's team based in Edmonton, Alberta, operated between 1915 and 1940. The Grads toured all over North America, and were exceptionally successful. They posted a record of 522 wins and only 20 losses over that span, as they met any team that wanted to challenge them, funding their tours from gate receipts.[32] The Grads also shone on several exhibition trips to Europe, and won four consecutive exhibition Olympics tournaments, in 1924, 1928, 1932, and 1936; however, women's basketball was not an official Olympic sport until 1976. The Grads' players were unpaid, and had to remain single. The Grads' style focused on team play, without overly emphasizing skills of individual players. The first women's AAU All-America team was chosen in 1929.[31] Women's industrial leagues sprang up throughout the United States, producing famous athletes, including Babe Didrikson of the Golden Cyclones, and the All American Red Heads Team, which competed against men's teams, using men's rules. By 1938, the women's national championship changed from a three-court game to two-court game with six players per team.[31]
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The NBA-backed Women's National Basketball Association (WNBA) began in 1997. Though it had shaky attendance figures, several marquee players (Lisa Leslie, Diana Taurasi, and Candace Parker among others) have helped the league's popularity and level of competition. Other professional women's basketball leagues in the United States, such as the American Basketball League (1996–98), have folded in part because of the popularity of the WNBA. The WNBA has been looked at by many as a niche league. However, the league has recently taken steps forward. In June 2007, the WNBA signed a contract extension with ESPN. The new television deal ran from 2009 to 2016. Along with this deal, came the first ever rights fees to be paid to a women's professional sports league. Over the eight years of the contract, "millions and millions of dollars" were "dispersed to the league's teams." In a March 12, 2009 article, NBA commissioner David Stern said that in the bad economy, "the NBA is far less profitable than the WNBA. We're losing a lot of money among a large number of teams. We're budgeting the WNBA to break even this year."[33]
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Measurements and time limits discussed in this section often vary among tournaments and organizations; international and NBA rules are used in this section.
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The object of the game is to outscore one's opponents by throwing the ball through the opponents' basket from above while preventing the opponents from doing so on their own. An attempt to score in this way is called a shot. A successful shot is worth two points, or three points if it is taken from beyond the three-point arc 6.75 metres (22 ft 2 in) from the basket in international games[citation needed] and 23 feet 9 inches (7.24 m) in NBA games.[34] A one-point shot can be earned when shooting from the foul line after a foul is made. After a team has scored from a field goal or free throw, play is resumed with a throw-in awarded to the non-scoring team taken from a point beyond the endline of the court where the points(s) were scored.[35]
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Games are played in four quarters of 10 (FIBA)[36] or 12 minutes (NBA).[37] College men's games use two 20-minute halves,[38] college women's games use 10-minute quarters,[39] and most United States high school varsity games use 8-minute quarters; however, this varies from state to state.[40][41] 15 minutes are allowed for a half-time break under FIBA, NBA, and NCAA rules[38][42][43] and 10 minutes in United States high schools.[40] Overtime periods are five minutes in length[38][44][45] except for high school, which is four minutes in length.[40] Teams exchange baskets for the second half. The time allowed is actual playing time; the clock is stopped while the play is not active. Therefore, games generally take much longer to complete than the allotted game time, typically about two hours.
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Five players from each team may be on the court at one time.[46][47][48][49] Substitutions are unlimited but can only be done when play is stopped. Teams also have a coach, who oversees the development and strategies of the team, and other team personnel such as assistant coaches, managers, statisticians, doctors and trainers.
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For both men's and women's teams, a standard uniform consists of a pair of shorts and a jersey with a clearly visible number, unique within the team, printed on both the front and back. Players wear high-top sneakers that provide extra ankle support. Typically, team names, players' names and, outside of North America, sponsors are printed on the uniforms.
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A limited number of time-outs, clock stoppages requested by a coach (or sometimes mandated in the NBA) for a short meeting with the players, are allowed. They generally last no longer than one minute (100 seconds in the NBA) unless, for televised games, a commercial break is needed.
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The game is controlled by the officials consisting of the referee (referred to as crew chief in the NBA), one or two umpires (referred to as referees in the NBA) and the table officials. For college, the NBA, and many high schools, there are a total of three referees on the court. The table officials are responsible for keeping track of each team's scoring, timekeeping, individual and team fouls, player substitutions, team possession arrow, and the shot clock.
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The only essential equipment in a basketball game is the ball and the court: a flat, rectangular surface with baskets at opposite ends. Competitive levels require the use of more equipment such as clocks, score sheets, scoreboard(s), alternating possession arrows, and whistle-operated stop-clock systems.
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A regulation basketball court in international games is 91.9 feet (28.0 meters) long and 49.2 feet (15 meters) wide. In the NBA and NCAA the court is 94 by 50 feet (29 by 15 meters).[34] Most courts have wood flooring, usually constructed from maple planks running in the same direction as the longer court dimension.[50][51] The name and logo of the home team is usually painted on or around the center circle.
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The basket is a steel rim 18 inches (46 cm) diameter with an attached net affixed to a backboard that measures 6 by 3.5 feet (1.8 by 1.1 meters) and one basket is at each end of the court. The white outlined box on the backboard is 18 inches (46 cm) high and 2 feet (61 cm) wide. At almost all levels of competition, the top of the rim is exactly 10 feet (3.05 meters) above the court and 4 feet (1.22 meters) inside the baseline. While variation is possible in the dimensions of the court and backboard, it is considered important for the basket to be of the correct height – a rim that is off by just a few inches can have an adverse effect on shooting.
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The size of the basketball is also regulated. For men, the official ball is 29.5 inches (75 cm) in circumference (size 7, or a "295 ball") and weighs 22 oz (623.69 grams). If women are playing, the official basketball size is 28.5 inches (72 cm) in circumference (size 6, or a "285 ball") with a weight of 20 oz (567 grams). In 3x3, a formalized version of the halfcourt 3-on-3 game, a dedicated ball with the circumference of a size 6 ball but the weight of a size 7 ball is used in all competitions (men's, women's, and mixed teams).[52]
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The ball may be advanced toward the basket by being shot, passed between players, thrown, tapped, rolled or dribbled (bouncing the ball while running).
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The ball must stay within the court; the last team to touch the ball before it travels out of bounds forfeits possession. The ball is out of bounds if it touches a boundary line, or touches any player or object that is out of bounds.
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There are limits placed on the steps a player may take without dribbling, which commonly results in an infraction known as traveling. Nor may a player stop his dribble and then resume dribbling. A dribble that touches both hands is considered stopping the dribble, giving this infraction the name double dribble. Within a dribble, the player cannot carry the ball by placing his hand on the bottom of the ball; doing so is known as carrying the ball. A team, once having established ball control in the front half of their court, may not return the ball to the backcourt and be the first to touch it. A violation of these rules results in loss of possession.
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The ball may not be kicked, nor be struck with the fist. For the offense, a violation of these rules results in loss of possession; for the defense, most leagues reset the shot clock and the offensive team is given possession of the ball out of bounds.
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There are limits imposed on the time taken before progressing the ball past halfway (8 seconds in FIBA and the NBA; 10 seconds in NCAA and high school for both sexes), before attempting a shot (24 seconds in FIBA, the NBA, and U Sports (Canadian universities) play for both sexes, and 30 seconds in NCAA play for both sexes), holding the ball while closely guarded (5 seconds), and remaining in the restricted area known as the free-throw lane, (or the "key") (3 seconds). These rules are designed to promote more offense.
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Basket interference, or goaltending is a violation charged when a player illegally interferes with a shot. This violation is incurred when a player touches the ball on its downward trajectory to the basket, unless it is obvious that the ball has no chance of entering the basket, if a player touches the ball while it is in the rim, or in the area extended upwards from the basket, or if a player reaches through the basket to interfere with the shot. When a defensive player is charged with goaltending, the basket is awarded. If an offensive player commits the infraction, the basket is cancelled. In either case possession of the ball is turned over to the defensive team.
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An attempt to unfairly disadvantage an opponent through certain types of physical contact is illegal and is called a personal foul. These are most commonly committed by defensive players; however, they can be committed by offensive players as well. Players who are fouled either receive the ball to pass inbounds again, or receive one or more free throws if they are fouled in the act of shooting, depending on whether the shot was successful. One point is awarded for making a free throw, which is attempted from a line 15 feet (4.6 m) from the basket.
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The referee is responsible for judging whether contact is illegal, sometimes resulting in controversy. The calling of fouls can vary between games, leagues and referees.
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There is a second category of fouls called technical fouls, which may be charged for various rules violations including failure to properly record a player in the scorebook, or for unsportsmanlike conduct. These infractions result in one or two free throws, which may be taken by any of the five players on the court at the time. Repeated incidents can result in disqualification. A blatant foul involving physical contact that is either excessive or unnecessary is called an intentional foul (flagrant foul in the NBA). In FIBA and NCAA women's basketball, a foul resulting in ejection is called a disqualifying foul, while in leagues other than the NBA, such a foul is referred to as flagrant.
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If a team exceeds a certain limit of team fouls in a given period (quarter or half) – four for NBA, NCAA women's, and international games – the opposing team is awarded one or two free throws on all subsequent non-shooting fouls for that period, the number depending on the league. In the US college men's game and high school games for both sexes, if a team reaches 7 fouls in a half, the opposing team is awarded one free throw, along with a second shot if the first is made. This is called shooting "one-and-one". If a team exceeds 10 fouls in the half, the opposing team is awarded two free throws on all subsequent fouls for the half.
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When a team shoots foul shots, the opponents may not interfere with the shooter, nor may they try to regain possession until the last or potentially last free throw is in the air.
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After a team has committed a specified number of fouls, the other team is said to be "in the bonus". On scoreboards, this is usually signified with an indicator light reading "Bonus" or "Penalty" with an illuminated directional arrow or dot indicating that team is to receive free throws when fouled by the opposing team. (Some scoreboards also indicate the number of fouls committed.)
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If a team misses the first shot of a two-shot situation, the opposing team must wait for the completion of the second shot before attempting to reclaim possession of the ball and continuing play.
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If a player is fouled while attempting a shot and the shot is unsuccessful, the player is awarded a number of free throws equal to the value of the attempted shot. A player fouled while attempting a regular two-point shot thus receives two shots, and a player fouled while attempting a three-point shot receives three shots.
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If a player is fouled while attempting a shot and the shot is successful, typically the player will be awarded one additional free throw for one point. In combination with a regular shot, this is called a "three-point play" or "four-point play" (or more colloquially, an "and one") because of the basket made at the time of the foul (2 or 3 points) and the additional free throw (1 point).
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Although the rules do not specify any positions whatsoever, they have evolved as part of basketball. During the early years of basketball's evolution, two guards, two forwards, and one center were used. In more recent times specific positions evolved, but the current trend, advocated by many top coaches including Mike Krzyzewski is towards positionless basketball, where big guys are free to shoot from outside and dribble if their skill allows it.[53] Popular descriptions of positions include:
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Point guard (often called the "1") : usually the fastest player on the team, organizes the team's offense by controlling the ball and making sure that it gets to the right player at the right time.
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Shooting guard (the "2") : creates a high volume of shots on offense, mainly long-ranged; and guards the opponent's best perimeter player on defense.
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Small forward (the "3") : often primarily responsible for scoring points via cuts to the basket and dribble penetration; on defense seeks rebounds and steals, but sometimes plays more actively.
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Power forward (the "4"): plays offensively often with their back to the basket; on defense, plays under the basket (in a zone defense) or against the opposing power forward (in man-to-man defense).
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Center (the "5"): uses height and size to score (on offense), to protect the basket closely (on defense), or to rebound.
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The above descriptions are flexible. For most teams today, the shooting guard and small forward have very similar responsibilities and are often called the wings, as do the power forward and center, who are often called post players. While most teams describe two players as guards, two as forwards, and one as a center, on some occasions teams choose to call them by different designations.
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There are two main defensive strategies: zone defense and man-to-man defense. In a zone defense, each player is assigned to guard a specific area of the court. Zone defenses often allow the defense to double team the ball, a manoeuver known as a trap. In a man-to-man defense, each defensive player guards a specific opponent.
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Offensive plays are more varied, normally involving planned passes and movement by players without the ball. A quick movement by an offensive player without the ball to gain an advantageous position is known as a cut. A legal attempt by an offensive player to stop an opponent from guarding a teammate, by standing in the defender's way such that the teammate cuts next to him, is a screen or pick. The two plays are combined in the pick and roll, in which a player sets a pick and then "rolls" away from the pick towards the basket. Screens and cuts are very important in offensive plays; these allow the quick passes and teamwork, which can lead to a successful basket. Teams almost always have several offensive plays planned to ensure their movement is not predictable. On court, the point guard is usually responsible for indicating which play will occur.
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Shooting is the act of attempting to score points by throwing the ball through the basket, methods varying with players and situations.
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Typically, a player faces the basket with both feet facing the basket. A player will rest the ball on the fingertips of the dominant hand (the shooting arm) slightly above the head, with the other hand supporting the side of the ball. The ball is usually shot by jumping (though not always) and extending the shooting arm. The shooting arm, fully extended with the wrist fully bent, is held stationary for a moment following the release of the ball, known as a follow-through. Players often try to put a steady backspin on the ball to absorb its impact with the rim. The ideal trajectory of the shot is somewhat controversial, but generally a proper arc is recommended. Players may shoot directly into the basket or may use the backboard to redirect the ball into the basket.
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The two most common shots that use the above described setup are the set shot and the jump shot. Both are preceeded by a crouching action which preloads the muscles and increases the power of the shot. In a set shot the shooter straightens up and throws from a standing position with neither foot leaving the floor; this is typically used for free throws. For a jump shot, the throw is taken in mid-air with the ball being released near the top of the jump. This provides much greater power and range, and it also allows the player to elevate over the defender. Failure to release the ball before the feet return to the floor is considered a traveling violation.
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Another common shot is called the lay-up. This shot requires the player to be in motion toward the basket, and to "lay" the ball "up" and into the basket, typically off the backboard (the backboard-free, underhand version is called a finger roll). The most crowd-pleasing and typically highest-percentage accuracy shot is the slam dunk, in which the player jumps very high and throws the ball downward, through the basket while touching it.
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Another shot that is becoming common[citation needed] is the "circus shot". The circus shot is a low-percentage shot that is flipped, heaved, scooped, or flung toward the hoop while the shooter is off-balance, airborne, falling down, and/or facing away from the basket. A back-shot is a shot taken when the player is facing away from the basket, and may be shot with the dominant hand, or both; but there is a very low chance that the shot will be successful.
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A shot that misses both the rim and the backboard completely is referred to as an air ball. A particularly bad shot, or one that only hits the backboard, is jocularly called a brick. The hang time is the length of time a player stays in the air after jumping, either to make a slam dunk, lay-up or jump shot.
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The objective of rebounding is to successfully gain possession of the basketball after a missed field goal or free throw, as it rebounds from the hoop or backboard. This plays a major role in the game, as most possessions end when a team misses a shot. There are two categories of rebounds: offensive rebounds, in which the ball is recovered by the offensive side and does not change possession, and defensive rebounds, in which the defending team gains possession of the loose ball. The majority of rebounds are defensive, as the team on defense tends to be in better position to recover missed shots.
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A pass is a method of moving the ball between players. Most passes are accompanied by a step forward to increase power and are followed through with the hands to ensure accuracy.
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A staple pass is the chest pass. The ball is passed directly from the passer's chest to the receiver's chest. A proper chest pass involves an outward snap of the thumbs to add velocity and leaves the defence little time to react.
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Another type of pass is the bounce pass. Here, the passer bounces the ball crisply about two-thirds of the way from his own chest to the receiver. The ball strikes the court and bounces up toward the receiver. The bounce pass takes longer to complete than the chest pass, but it is also harder for the opposing team to intercept (kicking the ball deliberately is a violation). Thus, players often use the bounce pass in crowded moments, or to pass around a defender.
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The overhead pass is used to pass the ball over a defender. The ball is released while over the passer's head.
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The outlet pass occurs after a team gets a defensive rebound. The next pass after the rebound is the outlet pass.
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The crucial aspect of any good pass is it being difficult to intercept. Good passers can pass the ball with great accuracy and they know exactly where each of their other teammates prefers to receive the ball. A special way of doing this is passing the ball without looking at the receiving teammate. This is called a no-look pass.
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Another advanced style of passing is the behind-the-back pass, which, as the description implies, involves throwing the ball behind the passer's back to a teammate. Although some players can perform such a pass effectively, many coaches discourage no-look or behind-the-back passes, believing them to be difficult to control and more likely to result in turnovers or violations.
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Dribbling is the act of bouncing the ball continuously with one hand and is a requirement for a player to take steps with the ball. To dribble, a player pushes the ball down towards the ground with the fingertips rather than patting it; this ensures greater control.
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When dribbling past an opponent, the dribbler should dribble with the hand farthest from the opponent, making it more difficult for the defensive player to get to the ball. It is therefore important for a player to be able to dribble competently with both hands.
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Good dribblers (or "ball handlers") tend to bounce the ball low to the ground, reducing the distance of travel of the ball from the floor to the hand, making it more difficult for the defender to "steal" the ball. Good ball handlers frequently dribble behind their backs, between their legs, and switch directions suddenly, making a less predictable dribbling pattern that is more difficult to defend against. This is called a crossover, which is the most effective way to move past defenders while dribbling.
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A skilled player can dribble without watching the ball, using the dribbling motion or peripheral vision to keep track of the ball's location. By not having to focus on the ball, a player can look for teammates or scoring opportunities, as well as avoid the danger of having someone steal the ball away from him/her.
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A block is performed when, after a shot is attempted, a defender succeeds in altering the shot by touching the ball. In almost all variants of play, it is illegal to touch the ball after it is in the downward path of its arc; this is known as goaltending. It is also illegal under NBA and Men's NCAA basketball to block a shot after it has touched the backboard, or when any part of the ball is directly above the rim. Under international rules it is illegal to block a shot that is in the downward path of its arc or one that has touched the backboard until the ball has hit the rim. After the ball hits the rim, it is again legal to touch it even though it is no longer considered as a block performed.
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To block a shot, a player has to be able to reach a point higher than where the shot is released. Thus, height can be an advantage in blocking. Players who are taller and playing the power forward or center positions generally record more blocks than players who are shorter and playing the guard positions. However, with good timing and a sufficiently high vertical leap, even shorter players can be effective shot blockers.
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At the professional level, most male players are above 6 feet 3 inches (1.91 m) and most women above 5 feet 7 inches (1.70 m). Guards, for whom physical coordination and ball-handling skills are crucial, tend to be the smallest players. Almost all forwards in the top men's pro leagues are 6 feet 6 inches (1.98 m) or taller. Most centers are over 6 feet 10 inches (2.08 m) tall. According to a survey given to all NBA teams,[when?] the average height of all NBA players is just under 6 feet 7 inches (2.01 m), with the average weight being close to 222 pounds (101 kg). The tallest players ever in the NBA were Manute Bol and Gheorghe Mureșan, who were both 7 feet 7 inches (2.31 m) tall. At 7 feet 2 inches (2.18 m), Margo Dydek was the tallest player in the history of the WNBA.
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The shortest player ever to play in the NBA is Muggsy Bogues at 5 feet 3 inches (1.60 m).[54] Other short players have thrived at the pro level. Anthony "Spud" Webb was just 5 feet 7 inches (1.70 m) tall, but had a 42-inch (1.1 m) vertical leap, giving him significant height when jumping. While shorter players are often at a disadvantage in certain aspects of the game, their ability to navigate quickly through crowded areas of the court and steal the ball by reaching low are strengths.
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Players regularly inflate their height. Many prospects exaggerate their height while in high school or college to make themselves more appealing to coaches and scouts, who prefer taller players. Charles Barkley stated; "I've been measured at 6-5, 6-4 3⁄4. But I started in college at 6-6." Sam Smith, a former writer from The Chicago Tribune, said: "We sort of know the heights, because after camp, the sheet comes out. But you use that height, and the player gets mad. And then you hear from his agent. Or you file your story with the right height, and the copy desk changes it because they have the 'official' N.B.A. media guide, which is wrong. So you sort of go along with the joke."[55] In the NBA, there is no standard on whether a player's listed height uses their measurement with shoes on or without. The NBA Draft Combine, which most players attend before the draft, provides both measurements. Thereafter, a player's team is solely responsible for their listed height, which can vary depending on the process selected.[56][57]
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Notable players who overstated their height include:
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On rare occasions, some players will understate their actual heights, not to be repositioned. One example is Kevin Durant, whose listed height is 6 feet 9 inches (2.06 m), while his actual height is 7 feet 0 inches (2.13 m). Durant's reasoning was, "Really, that's the prototypical size for a small forward. Anything taller than that, and they'll start saying, 'Ah, he's a power forward."[62]
|
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Variations of basketball are activities based on the game of basketball, using common basketball skills and equipment (primarily the ball and basket). Some variations are only superficial rules changes, while others are distinct games with varying degrees of basketball influences. Other variations include children's games, contests or activities meant to help players reinforce skills.
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There are principal basketball sports with variations on basketball including Wheelchair basketball, Water basketball, Beach basketball, Slamball, Streetball and Unicycle basketball. An earlier version of basketball, played primarily by women and girls, was Six-on-six basketball. Horseball is a game played on horseback where a ball is handled and points are scored by shooting it through a high net (approximately 1.5m×1.5m). The sport is like a combination of polo, rugby, and basketball. There is even a form played on donkeys known as Donkey basketball, but that version has come under attack from animal rights groups.
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|
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Perhaps the single most common variation of basketball is the half-court game, played in informal settings without referees or strict rules. Only one basket is used, and the ball must be "taken back" or "cleared" – passed or dribbled outside the three-point line each time possession of the ball changes from one team to the other. Half-court games require less cardiovascular stamina, since players need not run back and forth a full court. Half-court raises the number of players that can use a court or, conversely, can be played if there is an insufficient number to form full 5-on-5 teams.
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Half-court basketball is usually played 1-on-1, 2-on-2 or 3-on-3. The latter variation is gradually gaining official recognition as 3x3, originally known as FIBA 33. It was first tested at the 2007 Asian Indoor Games in Macau and the first official tournaments were held at the 2009 Asian Youth Games and the 2010 Youth Olympics, both in Singapore. The first FIBA 3x3 Youth World Championships[63] were held in Rimini, Italy in 2011, with the first FIBA 3x3 World Championships for senior teams following a year later in Athens. The sport is highly tipped to become an Olympic sport as early as 2016.[64] In the summer of 2017, the BIG3 basketball league, a professional 3x3 half court basketball league that features former NBA players, began. The BIG3 features several rule variants including a four-point field goal.[65]
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There are also other basketball sports, such as:
|
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|
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Spin-offs from basketball that are now separate sports include:
|
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|
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Basketball has been adopted by various social groups, which have established their own environments and sometimes their own rules. Such socialized forms of basketball include the following.
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|
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Basketball is played widely casually in schools and colleges where fun, entertainment and camaraderie rule rather than winning a game.
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Disabled basketball is played by various disabled groups, such as the deaf and physically crippled people.
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Show basketball is performed by entertainment basketball show teams, the prime example being the Harlem Globetrotters. There are even specialized entertainment teams, such as teams of celebrities, people with short heights and others.
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|
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Fantasy basketball was popularized during the 1990s after the advent of the Internet. Those who play this game are sometimes referred to as General Managers, who draft actual NBA players and compute their basketball statistics. The game was popularized by ESPN Fantasy Sports, NBA.com, and Yahoo! Fantasy Sports. Other sports websites provided the same format keeping the game interesting with participants actually owning specific players.
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The Leaning Tower of Pisa (Italian: Torre pendente di Pisa) or simply the Tower of Pisa (Torre di Pisa [ˈtorre di ˈpiːza, - ˈpiːsa]) is the campanile, or freestanding bell tower, of the cathedral of the Italian city of Pisa, known worldwide for its nearly four-degree lean, the result of an unstable foundation. The tower is situated behind the Pisa Cathedral and is the third-oldest structure in the city's Cathedral Square (Piazza del Duomo), after the cathedral and the Pisa Baptistry.
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The height of the tower is 55.86 metres (183.27 feet) from the ground on the low side and 56.67 metres (185.93 feet) on the high side. The width of the walls at the base is 2.44 m (8 ft 0.06 in). Its weight is estimated at 14,500 metric tons (16,000 short tons).[1] The tower has 296 or 294 steps; the seventh floor has two fewer steps on the north-facing staircase.
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The tower began to lean during construction in the 12th century, due to soft ground which could not properly support the structure's weight, and it worsened through the completion of construction in the 14th century. By 1990 the tilt had reached 5.5 degrees.[2][3][4] The structure was stabilized by remedial work between 1993 and 2001, which reduced the tilt to 3.97 degrees.[5]
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There has been controversy about the real identity of the architect of the Leaning Tower of Pisa. For many years, the design was attributed to Guglielmo and Bonanno Pisano,[6] a well-known 12th-century resident artist of Pisa, known for his bronze casting, particularly in the Pisa Duomo. Pisano left Pisa in 1185 for Monreale, Sicily, only to come back and die in his home town. A piece of cast bearing his name was discovered at the foot of the tower in 1820, but this may be related to the bronze door in the façade of the cathedral that was destroyed in 1595. A 2001 study seems to indicate Diotisalvi was the original architect, due to the time of construction and affinity with other Diotisalvi works, notably the bell tower of San Nicola and the Baptistery, both in Pisa.[7]
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Column capital details on top level
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Column details
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Base wall columns
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flower pendant
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Entrance
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wall relief details of animals
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Outer floor tiles
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Assunta bell
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Pasquareccia bell
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top level bells
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Construction of the tower occurred in three stages over 199 years. On 5 January 1172, Donna Berta di Bernardo, a widow and resident of the house of dell'Opera di Santa Maria, bequeathed sixty soldi to the Opera Campanilis petrarum Sancte Marie. The sum was then used toward the purchase of a few stones which still form the base of the bell tower.[8] On 9 August 1173, the foundations of the tower were laid.[9] Work on the ground floor of the white marble campanile began on 14 August of the same year during a period of military success and prosperity. This ground floor is a blind arcade articulated by engaged columns with classical Corinthian capitals.[citation needed] Nearly four centuries later Giorgio Vasari wrote: "Guglielmo, according to what is being said, in the year 1174, together with sculptor Bonanno, laid the foundations of the bell tower of the cathedral in Pisa".[10]
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The tower began to sink after construction had progressed to the second floor in 1178. This was due to a mere three-metre foundation, set in weak, unstable subsoil, a design that was flawed from the beginning. Construction was subsequently halted for almost a century, as the Republic of Pisa was almost continually engaged in battles with Genoa, Lucca, and Florence. This allowed time for the underlying soil to settle. Otherwise, the tower would almost certainly have toppled.[11] On 27 December 1233, the worker Benenato, son of Gerardo Bottici, oversaw the continuation of the tower's construction.[12]
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On 23 February 1260, Guido Speziale, son of Giovanni Pisano, was elected to oversee the building of the tower.[13] On 12 April 1264, the master builder Giovanni di Simone, architect of the Camposanto, and 23 workers went to the mountains close to Pisa to cut marble. The cut stones were given to Rainaldo Speziale, worker of St. Francesco.[14] In 1272, construction resumed under Di Simone. In an effort to compensate for the tilt, the engineers built upper floors with one side taller than the other. Because of this, the tower is curved.[15] Construction was halted again in 1284 when the Pisans were defeated by the Genoans in the Battle of Meloria.[9][16]
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The seventh floor was completed in 1319.[17] The bell-chamber was finally added in 1372. It was built by Tommaso di Andrea Pisano, who succeeded in harmonizing the Gothic elements of the belfry with the Romanesque style of the tower.[18][19] There are seven bells, one for each note of the musical major scale. The largest one was installed in 1655.[11]
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Between 1589 and 1592,[20] Galileo Galilei, who lived in Pisa at the time, is said to have dropped two cannonballs of different masses from the tower to demonstrate that their speed of descent was independent of their mass. The primary source for this is the biography Racconto istorico della vita di Galileo Galilei (Historical Account of the Life of Galileo Galilei), written by Galileo's pupil and secretary Vincenzo Viviani in 1654, but only published in 1717, long after his death.[21][22]
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During World War II, the Allies suspected that the Germans were using the tower as an observation post. A U.S. Army sergeant sent to confirm the presence of German troops in the tower was impressed by the beauty of the cathedral and its campanile, and thus refrained from ordering an artillery strike, sparing it from destruction.[23][24]
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Numerous efforts have been made to restore the tower to a vertical orientation or at least keep it from falling over. Most of these efforts failed; some worsened the tilt. On 27 February 1964, the government of Italy requested aid in preventing the tower from toppling. It was, however, considered important to retain the current tilt, due to the role that this element played in promoting the tourism industry of Pisa.[25]
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+
A multinational task force of engineers, mathematicians, and historians gathered on the Azores islands to discuss stabilisation methods.[when?] It was found that the tilt was increasing in combination with the softer foundations on the lower side. Many methods were proposed to stabilise the tower, including the addition of 800 tonnes of lead counterweights to the raised end of the base as a temporary intervention.[26]
|
46 |
+
|
47 |
+
The tower and the neighbouring cathedral, baptistery, and cemetery are included in the Piazza del Duomo UNESCO World Heritage Site, which was declared in 1987.[27]
|
48 |
+
|
49 |
+
The tower was closed to the public on 7 January 1990[28], after more than two decades of stabilisation studies and spurred by the abrupt collapse of the Civic Tower of Pavia in 1989. [29][30] The bells were removed to relieve some weight and cables were cinched around the third level and anchored several hundred meters away. Apartments and houses in the path of a potential fall of the tower were vacated for safety. The selected method for preventing the collapse of the tower was to slightly reduce its tilt to a safer angle by soil removal 38 cubic metres (1,342 cubic feet) from underneath the raised end. The tower's tilt was reduced by 45 centimetres (17.7 inches), returning to its 1838 position. After a decade of corrective reconstruction and stabilization efforts, the tower was reopened to the public on 15 December 2001, and was declared stable for at least another 300 years.[26] In total, 70 metric tons (77 short tons) of soil were removed.[31]
|
50 |
+
|
51 |
+
After a phase (1990–2001) of structural strengthening,[32] the tower has been undergoing gradual surface restoration to repair visible damage, mostly corrosion and blackening. These are particularly pronounced due to the tower's age and its exposure to wind and rain.[33]
|
52 |
+
In May 2008, engineers announced that the tower had been stabilized such that it had stopped moving for the first time in its history. They stated that it would be stable for at least 200 years.[31]
|
53 |
+
|
54 |
+
Leaning Tower of Pisa in the 1890s[34]
|
55 |
+
|
56 |
+
Plaque in memory of Galileo Galilei's experiments
|
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+
|
58 |
+
Temporary lead counterweights, 1998
|
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|
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+
The Pisa Baptistery (in the foreground), the Pisa Cathedral (in the middleground), and the Leaning Tower of Pisa (in the background)
|
61 |
+
|
62 |
+
At least four strong earthquakes hit the region since 1280, but the apparently vulnerable Tower survived. The reason was not understood until a research group of 16 engineers investigated. The researchers concluded that the Tower was able to withstand the tremors because of dynamic soil-structure interaction (DSSI): the height and stiffness of the Tower together with the softness of the foundation soil influences the vibrational characteristics of the structure in such a way that the Tower does not resonate with earthquake ground motion. The same soft soil that caused the leaning and brought the Tower to the verge of collapse helped it survive.[35]
|
63 |
+
|
64 |
+
Two German churches have challenged the tower's status as the world's most lop-sided building: the 15th-century square Leaning Tower of Suurhusen and the 14th-century bell tower in the town of Bad Frankenhausen.[36] Guinness World Records measured the Pisa and Suurhusen towers, finding the former's tilt to be 3.97 degrees.[37] In June 2010, Guinness World Records certified the Capital Gate building in Abu Dhabi, UAE as the "World's Furthest Leaning Man-made Tower";[38] it has an 18-degree slope, almost five times more than the Pisa Tower, but was deliberately engineered to slant. The Leaning Tower of Wanaka in New Zealand, also deliberately built, leans at 53 degrees to the ground.[39]
|
65 |
+
|
66 |
+
About the 5th bell: The name Pasquareccia comes from Easter, because it used to ring on Easter day. However, this bell is older than the bell-chamber itself, and comes from the tower Vergata in Palazzo Pretorio in Pisa, where it was called La Giustizia (The Justice). The bell was tolled to announce executions of criminals and traitors, including Count Ugolino in 1289.[49] A new bell was installed in the bell tower at the end of the 18th century to replace the broken Pasquareccia.[citation needed]
|
67 |
+
|
68 |
+
The circular shape and great height of the campanile were unusual for their time, and the crowning belfry is stylistically distinct from the rest of the construction. This belfry incorporates a 14 cm (5.5 in) correction for the inclined axis below. The siting of the campanile within the Piazza del Duomo diverges from the axial alignment of the cathedral and baptistery of the Piazza del Duomo.[citation needed]
|
69 |
+
|
70 |
+
View looking up
|
71 |
+
|
72 |
+
Entrance door to the bell tower
|
73 |
+
|
74 |
+
External loggia
|
75 |
+
|
76 |
+
Inner staircase from sixth to seventh floor
|
77 |
+
|
78 |
+
Inner staircase from seventh to eighth (the top) floor
|
79 |
+
|
80 |
+
View from the top
|
81 |
+
|
82 |
+
View, looking down from the top
|
83 |
+
|
84 |
+
Leaning Tower of Pisa in 2004
|
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+
|
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+
Tourist in a common pose at Tower of Pisa, June 2009
|
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|
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+
The Leaning Tower of Pisa (Italian: Torre pendente di Pisa) or simply the Tower of Pisa (Torre di Pisa [ˈtorre di ˈpiːza, - ˈpiːsa]) is the campanile, or freestanding bell tower, of the cathedral of the Italian city of Pisa, known worldwide for its nearly four-degree lean, the result of an unstable foundation. The tower is situated behind the Pisa Cathedral and is the third-oldest structure in the city's Cathedral Square (Piazza del Duomo), after the cathedral and the Pisa Baptistry.
|
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+
|
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+
The height of the tower is 55.86 metres (183.27 feet) from the ground on the low side and 56.67 metres (185.93 feet) on the high side. The width of the walls at the base is 2.44 m (8 ft 0.06 in). Its weight is estimated at 14,500 metric tons (16,000 short tons).[1] The tower has 296 or 294 steps; the seventh floor has two fewer steps on the north-facing staircase.
|
6 |
+
|
7 |
+
The tower began to lean during construction in the 12th century, due to soft ground which could not properly support the structure's weight, and it worsened through the completion of construction in the 14th century. By 1990 the tilt had reached 5.5 degrees.[2][3][4] The structure was stabilized by remedial work between 1993 and 2001, which reduced the tilt to 3.97 degrees.[5]
|
8 |
+
|
9 |
+
There has been controversy about the real identity of the architect of the Leaning Tower of Pisa. For many years, the design was attributed to Guglielmo and Bonanno Pisano,[6] a well-known 12th-century resident artist of Pisa, known for his bronze casting, particularly in the Pisa Duomo. Pisano left Pisa in 1185 for Monreale, Sicily, only to come back and die in his home town. A piece of cast bearing his name was discovered at the foot of the tower in 1820, but this may be related to the bronze door in the façade of the cathedral that was destroyed in 1595. A 2001 study seems to indicate Diotisalvi was the original architect, due to the time of construction and affinity with other Diotisalvi works, notably the bell tower of San Nicola and the Baptistery, both in Pisa.[7]
|
10 |
+
|
11 |
+
Column capital details on top level
|
12 |
+
|
13 |
+
Column details
|
14 |
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|
15 |
+
Base wall columns
|
16 |
+
|
17 |
+
flower pendant
|
18 |
+
|
19 |
+
Entrance
|
20 |
+
|
21 |
+
wall relief details of animals
|
22 |
+
|
23 |
+
Outer floor tiles
|
24 |
+
|
25 |
+
Assunta bell
|
26 |
+
|
27 |
+
Pasquareccia bell
|
28 |
+
|
29 |
+
top level bells
|
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+
|
31 |
+
Construction of the tower occurred in three stages over 199 years. On 5 January 1172, Donna Berta di Bernardo, a widow and resident of the house of dell'Opera di Santa Maria, bequeathed sixty soldi to the Opera Campanilis petrarum Sancte Marie. The sum was then used toward the purchase of a few stones which still form the base of the bell tower.[8] On 9 August 1173, the foundations of the tower were laid.[9] Work on the ground floor of the white marble campanile began on 14 August of the same year during a period of military success and prosperity. This ground floor is a blind arcade articulated by engaged columns with classical Corinthian capitals.[citation needed] Nearly four centuries later Giorgio Vasari wrote: "Guglielmo, according to what is being said, in the year 1174, together with sculptor Bonanno, laid the foundations of the bell tower of the cathedral in Pisa".[10]
|
32 |
+
|
33 |
+
The tower began to sink after construction had progressed to the second floor in 1178. This was due to a mere three-metre foundation, set in weak, unstable subsoil, a design that was flawed from the beginning. Construction was subsequently halted for almost a century, as the Republic of Pisa was almost continually engaged in battles with Genoa, Lucca, and Florence. This allowed time for the underlying soil to settle. Otherwise, the tower would almost certainly have toppled.[11] On 27 December 1233, the worker Benenato, son of Gerardo Bottici, oversaw the continuation of the tower's construction.[12]
|
34 |
+
|
35 |
+
On 23 February 1260, Guido Speziale, son of Giovanni Pisano, was elected to oversee the building of the tower.[13] On 12 April 1264, the master builder Giovanni di Simone, architect of the Camposanto, and 23 workers went to the mountains close to Pisa to cut marble. The cut stones were given to Rainaldo Speziale, worker of St. Francesco.[14] In 1272, construction resumed under Di Simone. In an effort to compensate for the tilt, the engineers built upper floors with one side taller than the other. Because of this, the tower is curved.[15] Construction was halted again in 1284 when the Pisans were defeated by the Genoans in the Battle of Meloria.[9][16]
|
36 |
+
|
37 |
+
The seventh floor was completed in 1319.[17] The bell-chamber was finally added in 1372. It was built by Tommaso di Andrea Pisano, who succeeded in harmonizing the Gothic elements of the belfry with the Romanesque style of the tower.[18][19] There are seven bells, one for each note of the musical major scale. The largest one was installed in 1655.[11]
|
38 |
+
|
39 |
+
Between 1589 and 1592,[20] Galileo Galilei, who lived in Pisa at the time, is said to have dropped two cannonballs of different masses from the tower to demonstrate that their speed of descent was independent of their mass. The primary source for this is the biography Racconto istorico della vita di Galileo Galilei (Historical Account of the Life of Galileo Galilei), written by Galileo's pupil and secretary Vincenzo Viviani in 1654, but only published in 1717, long after his death.[21][22]
|
40 |
+
|
41 |
+
During World War II, the Allies suspected that the Germans were using the tower as an observation post. A U.S. Army sergeant sent to confirm the presence of German troops in the tower was impressed by the beauty of the cathedral and its campanile, and thus refrained from ordering an artillery strike, sparing it from destruction.[23][24]
|
42 |
+
|
43 |
+
Numerous efforts have been made to restore the tower to a vertical orientation or at least keep it from falling over. Most of these efforts failed; some worsened the tilt. On 27 February 1964, the government of Italy requested aid in preventing the tower from toppling. It was, however, considered important to retain the current tilt, due to the role that this element played in promoting the tourism industry of Pisa.[25]
|
44 |
+
|
45 |
+
A multinational task force of engineers, mathematicians, and historians gathered on the Azores islands to discuss stabilisation methods.[when?] It was found that the tilt was increasing in combination with the softer foundations on the lower side. Many methods were proposed to stabilise the tower, including the addition of 800 tonnes of lead counterweights to the raised end of the base as a temporary intervention.[26]
|
46 |
+
|
47 |
+
The tower and the neighbouring cathedral, baptistery, and cemetery are included in the Piazza del Duomo UNESCO World Heritage Site, which was declared in 1987.[27]
|
48 |
+
|
49 |
+
The tower was closed to the public on 7 January 1990[28], after more than two decades of stabilisation studies and spurred by the abrupt collapse of the Civic Tower of Pavia in 1989. [29][30] The bells were removed to relieve some weight and cables were cinched around the third level and anchored several hundred meters away. Apartments and houses in the path of a potential fall of the tower were vacated for safety. The selected method for preventing the collapse of the tower was to slightly reduce its tilt to a safer angle by soil removal 38 cubic metres (1,342 cubic feet) from underneath the raised end. The tower's tilt was reduced by 45 centimetres (17.7 inches), returning to its 1838 position. After a decade of corrective reconstruction and stabilization efforts, the tower was reopened to the public on 15 December 2001, and was declared stable for at least another 300 years.[26] In total, 70 metric tons (77 short tons) of soil were removed.[31]
|
50 |
+
|
51 |
+
After a phase (1990–2001) of structural strengthening,[32] the tower has been undergoing gradual surface restoration to repair visible damage, mostly corrosion and blackening. These are particularly pronounced due to the tower's age and its exposure to wind and rain.[33]
|
52 |
+
In May 2008, engineers announced that the tower had been stabilized such that it had stopped moving for the first time in its history. They stated that it would be stable for at least 200 years.[31]
|
53 |
+
|
54 |
+
Leaning Tower of Pisa in the 1890s[34]
|
55 |
+
|
56 |
+
Plaque in memory of Galileo Galilei's experiments
|
57 |
+
|
58 |
+
Temporary lead counterweights, 1998
|
59 |
+
|
60 |
+
The Pisa Baptistery (in the foreground), the Pisa Cathedral (in the middleground), and the Leaning Tower of Pisa (in the background)
|
61 |
+
|
62 |
+
At least four strong earthquakes hit the region since 1280, but the apparently vulnerable Tower survived. The reason was not understood until a research group of 16 engineers investigated. The researchers concluded that the Tower was able to withstand the tremors because of dynamic soil-structure interaction (DSSI): the height and stiffness of the Tower together with the softness of the foundation soil influences the vibrational characteristics of the structure in such a way that the Tower does not resonate with earthquake ground motion. The same soft soil that caused the leaning and brought the Tower to the verge of collapse helped it survive.[35]
|
63 |
+
|
64 |
+
Two German churches have challenged the tower's status as the world's most lop-sided building: the 15th-century square Leaning Tower of Suurhusen and the 14th-century bell tower in the town of Bad Frankenhausen.[36] Guinness World Records measured the Pisa and Suurhusen towers, finding the former's tilt to be 3.97 degrees.[37] In June 2010, Guinness World Records certified the Capital Gate building in Abu Dhabi, UAE as the "World's Furthest Leaning Man-made Tower";[38] it has an 18-degree slope, almost five times more than the Pisa Tower, but was deliberately engineered to slant. The Leaning Tower of Wanaka in New Zealand, also deliberately built, leans at 53 degrees to the ground.[39]
|
65 |
+
|
66 |
+
About the 5th bell: The name Pasquareccia comes from Easter, because it used to ring on Easter day. However, this bell is older than the bell-chamber itself, and comes from the tower Vergata in Palazzo Pretorio in Pisa, where it was called La Giustizia (The Justice). The bell was tolled to announce executions of criminals and traitors, including Count Ugolino in 1289.[49] A new bell was installed in the bell tower at the end of the 18th century to replace the broken Pasquareccia.[citation needed]
|
67 |
+
|
68 |
+
The circular shape and great height of the campanile were unusual for their time, and the crowning belfry is stylistically distinct from the rest of the construction. This belfry incorporates a 14 cm (5.5 in) correction for the inclined axis below. The siting of the campanile within the Piazza del Duomo diverges from the axial alignment of the cathedral and baptistery of the Piazza del Duomo.[citation needed]
|
69 |
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|
70 |
+
View looking up
|
71 |
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|
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+
Entrance door to the bell tower
|
73 |
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|
74 |
+
External loggia
|
75 |
+
|
76 |
+
Inner staircase from sixth to seventh floor
|
77 |
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|
78 |
+
Inner staircase from seventh to eighth (the top) floor
|
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|
80 |
+
View from the top
|
81 |
+
|
82 |
+
View, looking down from the top
|
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+
|
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+
Leaning Tower of Pisa in 2004
|
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+
|
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+
Tourist in a common pose at Tower of Pisa, June 2009
|
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ADDED
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The Eiffel Tower (/ˈaɪfəl/ EYE-fəl; French: tour Eiffel [tuʁ‿ɛfɛl] (listen)) is a wrought-iron lattice tower on the Champ de Mars in Paris, France. It is named after the engineer Gustave Eiffel, whose company designed and built the tower.
|
6 |
+
|
7 |
+
Constructed from 1887 to 1889 as the entrance to the 1889 World's Fair, it was initially criticised by some of France's leading artists and intellectuals for its design, but it has become a global cultural icon of France and one of the most recognisable structures in the world.[3] The Eiffel Tower is the most-visited paid monument in the world; 6.91 million people ascended it in 2015.
|
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+
|
9 |
+
The tower is 324 metres (1,063 ft) tall, about the same height as an 81-storey building, and the tallest structure in Paris. Its base is square, measuring 125 metres (410 ft) on each side. During its construction, the Eiffel Tower surpassed the Washington Monument to become the tallest man-made structure in the world, a title it held for 41 years until the Chrysler Building in New York City was finished in 1930. It was the first structure to reach a height of 300 metres. Due to the addition of a broadcasting aerial at the top of the tower in 1957, it is now taller than the Chrysler Building by 5.2 metres (17 ft). Excluding transmitters, the Eiffel Tower is the second tallest free-standing structure in France after the Millau Viaduct.
|
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+
|
11 |
+
The tower has three levels for visitors, with restaurants on the first and second levels. The top level's upper platform is 276 m (906 ft) above the ground – the highest observation deck accessible to the public in the European Union. Tickets can be purchased to ascend by stairs or lift to the first and second levels. The climb from ground level to the first level is over 300 steps, as is the climb from the first level to the second. Although there is a staircase to the top level, it is usually accessible only by lift.
|
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|
13 |
+
The design of the Eiffel Tower is attributed to Maurice Koechlin and Émile Nouguier, two senior engineers working for the Compagnie des Établissements Eiffel. It was envisioned after discussion about a suitable centrepiece for the proposed 1889 Exposition Universelle, a world's fair to celebrate the centennial of the French Revolution. Eiffel openly acknowledged that inspiration for a tower came from the Latting Observatory built in New York City in 1853.[4] In May 1884, working at home, Koechlin made a sketch of their idea, described by him as "a great pylon, consisting of four lattice girders standing apart at the base and coming together at the top, joined together by metal trusses at regular intervals".[5] Eiffel initially showed little enthusiasm, but he did approve further study, and the two engineers then asked Stephen Sauvestre, the head of company's architectural department, to contribute to the design. Sauvestre added decorative arches to the base of the tower, a glass pavilion to the first level, and other embellishments.
|
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+
|
15 |
+
The new version gained Eiffel's support: he bought the rights to the patent on the design which Koechlin, Nougier, and Sauvestre had taken out, and the design was exhibited at the Exhibition of Decorative Arts in the autumn of 1884 under the company name. On 30 March 1885, Eiffel presented his plans to the Société des Ingénieurs Civils; after discussing the technical problems and emphasising the practical uses of the tower, he finished his talk by saying the tower would symbolise:
|
16 |
+
|
17 |
+
[n]ot only the art of the modern engineer, but also the century of Industrand Science in which we are living, and for which the way was prepared by the great scientific movement of the eighteenth century and by the Revolution of 1789, to which this monument will be built as an expression of France's gratitude.[6]
|
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+
|
19 |
+
Little progress was made until 1886, when Jules Grévy was re-elected as president of France and Édouard Lockroy was appointed as minister for trade. A budget for the exposition was passed and, on 1 May, Lockroy announced an alteration to the terms of the open competition being held for a centrepiece to the exposition, which effectively made the selection of Eiffel's design a foregone conclusion, as entries had to include a study for a 300 m (980 ft) four-sided metal tower on the Champ de Mars.[6] (A 300-meter tower was then considered a herculean engineering effort). On 12 May, a commission was set up to examine Eiffel's scheme and its rivals, which, a month later, decided that all the proposals except Eiffel's were either impractical or lacking in details.
|
20 |
+
|
21 |
+
After some debate about the exact location of the tower, a contract was signed on 8 January 1887. This was signed by Eiffel acting in his own capacity rather than as the representative of his company, and granted him 1.5 million francs toward the construction costs: less than a quarter of the estimated 6.5 million francs. Eiffel was to receive all income from the commercial exploitation of the tower during the exhibition and for the next 20 years. He later established a separate company to manage the tower, putting up half the necessary capital himself.[7]
|
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+
|
23 |
+
The proposed tower had been a subject of controversy, drawing criticism from those who did not believe it was feasible and those who objected on artistic grounds. Prior to the Eiffel Tower's construction, no structure had ever been constructed to a height of at least 300 metres, and many people believed it impossible. These objections were an expression of a long-standing debate in France about the relationship between architecture and engineering. It came to a head as work began at the Champ de Mars: a "Committee of Three Hundred" (one member for each metre of the tower's height) was formed, led by the prominent architect Charles Garnier and including some of the most important figures of the arts, such as William-Adolphe Bouguereau, Guy de Maupassant, Charles Gounod and Jules Massenet. A petition called "Artists against the Eiffel Tower" was sent to the Minister of Works and Commissioner for the Exposition, Adolphe Alphand, and it was published by Le Temps on 14 February 1887:
|
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+
|
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+
We, writers, painters, sculptors, architects and passionate devotees of the hitherto untouched beauty of Paris, protest with all our strength, with all our indignation in the name of slighted French taste, against the erection … of this useless and monstrous Eiffel Tower … To bring our arguments home, imagine for a moment a giddy, ridiculous tower dominating Paris like a gigantic black smokestack, crushing under its barbaric bulk Notre Dame, the Tour Saint-Jacques, the Louvre, the Dome of les Invalides, the Arc de Triomphe, all of our humiliated monuments will disappear in this ghastly dream. And for twenty years … we shall see stretching like a blot of ink the hateful shadow of the hateful column of bolted sheet metal.[8]
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Gustave Eiffel responded to these criticisms by comparing his tower to the Egyptian pyramids: "My tower will be the tallest edifice ever erected by man. Will it not also be grandiose in its way? And why would something admirable in Egypt become hideous and ridiculous in Paris?"[9] These criticisms were also dealt with by Édouard Lockroy in a letter of support written to Alphand, sardonically saying,[10] "Judging by the stately swell of the rhythms, the beauty of the metaphors, the elegance of its delicate and precise style, one can tell this protest is the result of collaboration of the most famous writers and poets of our time", and he explained that the protest was irrelevant since the project had been decided upon months before, and construction on the tower was already under way.
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Indeed, Garnier was a member of the Tower Commission that had examined the various proposals, and had raised no objection. Eiffel was similarly unworried, pointing out to a journalist that it was premature to judge the effect of the tower solely on the basis of the drawings, that the Champ de Mars was distant enough from the monuments mentioned in the protest for there to be little risk of the tower overwhelming them, and putting the aesthetic argument for the tower: "Do not the laws of natural forces always conform to the secret laws of harmony?"[11]
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Some of the protesters changed their minds when the tower was built; others remained unconvinced.[12] Guy de Maupassant supposedly ate lunch in the tower's restaurant every day because it was the one place in Paris where the tower was not visible.[13]
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By 1918, it had become a symbol of Paris and of France after Guillaume Apollinaire wrote a nationalist poem in the shape of the tower (a calligram) to express his feelings about the war against Germany.[14] Today, it is widely considered to be a remarkable piece of structural art, and is often featured in films and literature.
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Work on the foundations started on 28 January 1887.[15] Those for the east and south legs were straightforward, with each leg resting on four 2 m (6.6 ft) concrete slabs, one for each of the principal girders of each leg. The west and north legs, being closer to the river Seine, were more complicated: each slab needed two piles installed by using compressed-air caissons 15 m (49 ft) long and 6 m (20 ft) in diameter driven to a depth of 22 m (72 ft)[16] to support the concrete slabs, which were 6 m (20 ft) thick. Each of these slabs supported a block of limestone with an inclined top to bear a supporting shoe for the ironwork.
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Each shoe was anchored to the stonework by a pair of bolts 10 cm (4 in) in diameter and 7.5 m (25 ft) long. The foundations were completed on 30 June, and the erection of the ironwork began. The visible work on-site was complemented by the enormous amount of exacting preparatory work that took place behind the scenes: the drawing office produced 1,700 general drawings and 3,629 detailed drawings of the 18,038 different parts needed.[17] The task of drawing the components was complicated by the complex angles involved in the design and the degree of precision required: the position of rivet holes was specified to within 1 mm (0.04 in) and angles worked out to one second of arc.[18] The finished components, some already riveted together into sub-assemblies, arrived on horse-drawn carts from a factory in the nearby Parisian suburb of Levallois-Perret and were first bolted together, with the bolts being replaced with rivets as construction progressed. No drilling or shaping was done on site: if any part did not fit, it was sent back to the factory for alteration. In all, 18,038 pieces were joined together using 2.5 million rivets.[15]
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At first, the legs were constructed as cantilevers, but about halfway to the first level construction was paused in order to create a substantial timber scaffold. This renewed concerns about the structural integrity of the tower, and sensational headlines such as "Eiffel Suicide!" and "Gustave Eiffel Has Gone Mad: He Has Been Confined in an Asylum" appeared in the tabloid press.[19] At this stage, a small "creeper" crane designed to move up the tower was installed in each leg. They made use of the guides for the lifts which were to be fitted in the four legs. The critical stage of joining the legs at the first level was completed by the end of March 1888.[15] Although the metalwork had been prepared with the utmost attention to detail, provision had been made to carry out small adjustments in order to precisely align the legs; hydraulic jacks were fitted to the shoes at the base of each leg, capable of exerting a force of 800 tonnes, and the legs were intentionally constructed at a slightly steeper angle than necessary, being supported by sandboxes on the scaffold. Although construction involved 300 on-site employees,[15] only one person died, due to Eiffel's safety precautions and the use of movable gangways, guardrails and screens.[20]
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The start of the erection of the metalwork
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7 December 1887: Construction of the legs with scaffolding
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20 March 1888: Completion of the first level
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15 May 1888: Start of construction on the second stage
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21 August 1888: Completion of the second level
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26 December 1888: Construction of the upper stage
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15 March 1889: Construction of the cupola
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Equipping the tower with adequate and safe passenger lifts was a major concern of the government commission overseeing the Exposition. Although some visitors could be expected to climb to the first level, or even the second, lifts clearly had to be the main means of ascent.[21]
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Constructing lifts to reach the first level was relatively straightforward: the legs were wide enough at the bottom and so nearly straight that they could contain a straight track, and a contract was given to the French company Roux, Combaluzier & Lepape for two lifts to be fitted in the east and west legs.[22] Roux, Combaluzier & Lepape used a pair of endless chains with rigid, articulated links to which the car was attached. Lead weights on some links of the upper or return sections of the chains counterbalanced most of the car's weight. The car was pushed up from below, not pulled up from above: to prevent the chain buckling, it was enclosed in a conduit. At the bottom of the run, the chains passed around 3.9 m (12 ft 10 in) diameter sprockets. Smaller sprockets at the top guided the chains.[22]
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Installing lifts to the second level was more of a challenge because a straight track was impossible. No French company wanted to undertake the work. The European branch of Otis Brothers & Company submitted a proposal but this was rejected: the fair's charter ruled out the use of any foreign material in the construction of the tower. The deadline for bids was extended but still no French companies put themselves forward, and eventually the contract was given to Otis in July 1887.[23] Otis were confident they would eventually be given the contract and had already started creating designs.
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The car was divided into two superimposed compartments, each holding 25 passengers, with the lift operator occupying an exterior platform on the first level. Motive power was provided by an inclined hydraulic ram 12.67 m (41 ft 7 in) long and 96.5 cm (38.0 in) in diameter in the tower leg with a stroke of 10.83 m (35 ft 6 in): this moved a carriage carrying six sheaves. Five fixed sheaves were mounted higher up the leg, producing an arrangement similar to a block and tackle but acting in reverse, multiplying the stroke of the piston rather than the force generated. The hydraulic pressure in the driving cylinder was produced by a large open reservoir on the second level. After being exhausted from the cylinder, the water was pumped back up to the reservoir by two pumps in the machinery room at the base of the south leg. This reservoir also provided power to the lifts to the first level.
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The original lifts for the journey between the second and third levels were supplied by Léon Edoux. A pair of 81 m (266 ft) hydraulic rams were mounted on the second level, reaching nearly halfway up to the third level. One lift car was mounted on top of these rams: cables ran from the top of this car up to sheaves on the third level and back down to a second car. Each car only travelled half the distance between the second and third levels and passengers were required to change lifts halfway by means of a short gangway. The 10-ton cars each held 65 passengers.[24]
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The main structural work was completed at the end of March 1889 and, on 31 March, Eiffel celebrated by leading a group of government officials, accompanied by representatives of the press, to the top of the tower.[12] Because the lifts were not yet in operation, the ascent was made by foot, and took over an hour, with Eiffel stopping frequently to explain various features. Most of the party chose to stop at the lower levels, but a few, including the structural engineer, Émile Nouguier, the head of construction, Jean Compagnon, the President of the City Council, and reporters from Le Figaro and Le Monde Illustré, completed the ascent. At 2:35 pm, Eiffel hoisted a large Tricolour to the accompaniment of a 25-gun salute fired at the first level.[25]
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There was still work to be done, particularly on the lifts and facilities, and the tower was not opened to the public until nine days after the opening of the exposition on 6 May; even then, the lifts had not been completed. The tower was an instant success with the public, and nearly 30,000 visitors made the 1,710-step climb to the top before the lifts entered service on 26 May.[26]
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Tickets cost 2 francs for the first level, 3 for the second, and 5 for the top, with half-price admission on Sundays,[27] and by the end of the exhibition there had been 1,896,987 visitors.[3]
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After dark, the tower was lit by hundreds of gas lamps, and a beacon sent out three beams of red, white and blue light. Two searchlights mounted on a circular rail were used to illuminate various buildings of the exposition. The daily opening and closing of the exposition were announced by a cannon at the top.
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On the second level, the French newspaper Le Figaro had an office and a printing press, where a special souvenir edition, Le Figaro de la Tour, was made. There was also a pâtisserie.
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At the top, there was a post office where visitors could send letters and postcards as a memento of their visit. Graffitists were also catered for: sheets of paper were mounted on the walls each day for visitors to record their impressions of the tower. Gustave Eiffel described some of the responses as vraiment curieuse ("truly curious").[28]
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Famous visitors to the tower included the Prince of Wales, Sarah Bernhardt, "Buffalo Bill" Cody (his Wild West show was an attraction at the exposition) and Thomas Edison.[26] Eiffel invited Edison to his private apartment at the top of the tower, where Edison presented him with one of his phonographs, a new invention and one of the many highlights of the exposition.[29] Edison signed the guestbook with this message:
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To M Eiffel the Engineer the brave builder of so gigantic and original specimen of modern Engineering from one who has the greatest respect and admiration for all Engineers including the Great Engineer the Bon Dieu, Thomas Edison.
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Eiffel had a permit for the tower to stand for 20 years. It was to be dismantled in 1909, when its ownership would revert to the City of Paris. The City had planned to tear it down (part of the original contest rules for designing a tower was that it should be easy to dismantle) but as the tower proved to be valuable for communication purposes, it was allowed to remain after the expiry of the permit.
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Eiffel made use of his apartment at the top of the tower to carry out meteorological observations, and also used the tower to perform experiments on the action of air resistance on falling bodies.[30]
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For the 1900 Exposition Universelle, the lifts in the east and west legs were replaced by lifts running as far as the second level constructed by the French firm Fives-Lille. These had a compensating mechanism to keep the floor level as the angle of ascent changed at the first level, and were driven by a similar hydraulic mechanism to the Otis lifts, although this was situated at the base of the tower. Hydraulic pressure was provided by pressurised accumulators located near this mechanism.[23] At the same time the lift in the north pillar was removed and replaced by a staircase to the first level. The layout of both first and second levels was modified, with the space available for visitors on the second level. The original lift in the south pillar was removed 13 years later.
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On 19 October 1901, Alberto Santos-Dumont, flying his No.6 airship, won a 100,000-franc prize offered by Henri Deutsch de la Meurthe for the first person to make a flight from St. Cloud to the Eiffel Tower and back in less than half an hour.[31]
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Many innovations took place at the Eiffel Tower in the early 20th century. In 1910, Father Theodor Wulf measured radiant energy at the top and bottom of the tower. He found more at the top than expected, incidentally discovering what are known today as cosmic rays.[32] Just two years later, on 4 February 1912, Austrian tailor Franz Reichelt died after jumping from the first level of the tower (a height of 57 metres) to demonstrate his parachute design.[33] In 1914, at the outbreak of World War I, a radio transmitter located in the tower jammed German radio communications, seriously hindering their advance on Paris and contributing to the Allied victory at the First Battle of the Marne.[34] From 1925 to 1934, illuminated signs for Citroën adorned three of the tower's sides, making it the tallest advertising space in the world at the time.[35] In April 1935, the tower was used to make experimental low-resolution television transmissions, using a shortwave transmitter of 200 watts power. On 17 November, an improved 180-line transmitter was installed.[36]
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On two separate but related occasions in 1925, the con artist Victor Lustig "sold" the tower for scrap metal.[37] A year later, in February 1926, pilot Leon Collet was killed trying to fly under the tower. His aircraft became entangled in an aerial belonging to a wireless station.[38] A bust of Gustave Eiffel by Antoine Bourdelle was unveiled at the base of the north leg on 2 May 1929.[39] In 1930, the tower lost the title of the world's tallest structure when the Chrysler Building in New York City was completed.[40] In 1938, the decorative arcade around the first level was removed.[41]
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Upon the German occupation of Paris in 1940, the lift cables were cut by the French. The tower was closed to the public during the occupation and the lifts were not repaired until 1946.[42] In 1940, German soldiers had to climb the tower to hoist a swastika-centered Reichskriegsflagge,[43] but the flag was so large it blew away just a few hours later, and was replaced by a smaller one.[44] When visiting Paris, Hitler chose to stay on the ground. When the Allies were nearing Paris in August 1944, Hitler ordered General Dietrich von Choltitz, the military governor of Paris, to demolish the tower along with the rest of the city. Von Choltitz disobeyed the order.[45] On 25 June, before the Germans had been driven out of Paris, the German flag was replaced with a Tricolour by two men from the French Naval Museum, who narrowly beat three men led by Lucien Sarniguet, who had lowered the Tricolour on 13 June 1940 when Paris fell to the Germans.[42]
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A fire started in the television transmitter on 3 January 1956, damaging the top of the tower. Repairs took a year, and in 1957, the present radio aerial was added to the top.[46] In 1964, the Eiffel Tower was officially declared to be a historical monument by the Minister of Cultural Affairs, André Malraux.[47] A year later, an additional lift system was installed in the north pillar.[48]
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According to interviews, in 1967, Montreal Mayor Jean Drapeau negotiated a secret agreement with Charles de Gaulle for the tower to be dismantled and temporarily relocated to Montreal to serve as a landmark and tourist attraction during Expo 67. The plan was allegedly vetoed by the company operating the tower out of fear that the French government could refuse permission for the tower to be restored in its original location.[49]
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In 1982, the original lifts between the second and third levels were replaced after 97 years in service. These had been closed to the public between November and March because the water in the hydraulic drive tended to freeze. The new cars operate in pairs, with one counterbalancing the other, and perform the journey in one stage, reducing the journey time from eight minutes to less than two minutes. At the same time, two new emergency staircases were installed, replacing the original spiral staircases. In 1983, the south pillar was fitted with an electrically driven Otis lift to serve the Jules Verne restaurant.[citation needed] The Fives-Lille lifts in the east and west legs, fitted in 1899, were extensively refurbished in 1986. The cars were replaced, and a computer system was installed to completely automate the lifts. The motive power was moved from the water hydraulic system to a new electrically driven oil-filled hydraulic system, and the original water hydraulics were retained solely as a counterbalance system.[48] A service lift was added to the south pillar for moving small loads and maintenance personnel three years later.
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Robert Moriarty flew a Beechcraft Bonanza under the tower on 31 March 1984.[50] In 1987, A.J. Hackett made one of his first bungee jumps from the top of the Eiffel Tower, using a special cord he had helped develop. Hackett was arrested by the police.[51] On 27 October 1991, Thierry Devaux, along with mountain guide Hervé Calvayrac, performed a series of acrobatic figures while bungee jumping from the second floor of the tower. Facing the Champ de Mars, Devaux used an electric winch between figures to go back up to the second floor. When firemen arrived, he stopped after the sixth jump.[52]
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For its "Countdown to the Year 2000" celebration on 31 December 1999, flashing lights and high-powered searchlights were installed on the tower. During the last three minutes of the year, the lights will turn on starting from the base of the tower and continuing on until it gets to the top to welcome 2000 with a huge fireworks show. An exhibition above a cafeteria on the first floor commemorates this event. The searchlights on top of the tower made it a beacon in Paris's night sky, and 20,000 flashing bulbs gave the tower a sparkly appearance for five minutes every hour on the hour.[53]
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The lights sparkled blue for several nights to herald the new millennium on 31 December 2000. The sparkly lighting continued for 18 months until July 2001. The sparkling lights were turned on again on 21 June 2003, and the display was planned to last for 10 years before they needed replacing.[54]
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The tower received its 200,000,000th guest on 28 November 2002.[55] The tower has operated at its maximum capacity of about 7 million visitors since 2003.[56] In 2004, the Eiffel Tower began hosting a seasonal ice rink on the first level.[57] A glass floor was installed on the first level during the 2014 refurbishment.[58]
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The puddled iron (wrought iron) of the Eiffel Tower weighs 7,300 tons,[59] and the addition of lifts, shops and antennae have brought the total weight to approximately 10,100 tons.[60] As a demonstration of the economy of design, if the 7,300 tons of metal in the structure were melted down, it would fill the square base, 125 metres (410 ft) on each side, to a depth of only 6.25 cm (2.46 in) assuming the density of the metal to be 7.8 tons per cubic metre.[61] Additionally, a cubic box surrounding the tower (324 m x 125 m x 125 m) would contain 6,200 tons of air, weighing almost as much as the iron itself. Depending on the ambient temperature, the top of the tower may shift away from the sun by up to 18 cm (7 in) due to thermal expansion of the metal on the side facing the sun.[62]
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When it was built, many were shocked by the tower's daring form. Eiffel was accused of trying to create something artistic with no regard to the principles of engineering. However, Eiffel and his team – experienced bridge builders – understood the importance of wind forces, and knew that if they were going to build the tallest structure in the world, they had to be sure it could withstand them. In an interview with the newspaper Le Temps published on 14 February 1887, Eiffel said:
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Is it not true that the very conditions which give strength also conform to the hidden rules of harmony? … Now to what phenomenon did I have to give primary concern in designing the Tower? It was wind resistance. Well then! I hold that the curvature of the monument's four outer edges, which is as mathematical calculation dictated it should be … will give a great impression of strength and beauty, for it will reveal to the eyes of the observer the boldness of the design as a whole.[63]
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He used graphical methods to determine the strength of the tower and empirical evidence to account for the effects of wind, rather than a mathematical formula. Close examination of the tower reveals a basically exponential shape.[64] All parts of the tower were over-designed to ensure maximum resistance to wind forces. The top half was even assumed to have no gaps in the latticework.[65] In the years since it was completed, engineers have put forward various mathematical hypotheses in an attempt to explain the success of the design. The most recent, devised in 2004 after letters sent by Eiffel to the French Society of Civil Engineers in 1885 were translated into English, is described as a non-linear integral equation based on counteracting the wind pressure on any point of the tower with the tension between the construction elements at that point.[64]
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The Eiffel Tower sways by up to 9 centimetres (3.5 in) in the wind.[66]
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When originally built, the first level contained three restaurants — one French, one Russian and one Flemish — and an "Anglo-American Bar". After the exposition closed, the Flemish restaurant was converted to a 250-seat theatre. A promenade 2.6-metre (8 ft 6 in) wide ran around the outside of the first level. At the top, there were laboratories for various experiments, and a small apartment reserved for Gustave Eiffel to entertain guests, which is now open to the public, complete with period decorations and lifelike mannequins of Eiffel and some of his notable guests.[67]
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In May 2016, an apartment was created on the first level to accommodate four competition winners during the UEFA Euro 2016 football tournament in Paris in June. The apartment has a kitchen, two bedrooms, a lounge, and views of Paris landmarks including the Seine, the Sacre Coeur, and the Arc de Triomphe.[68]
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The arrangement of the lifts has been changed several times during the tower's history. Given the elasticity of the cables and the time taken to align the cars with the landings, each lift, in normal service, takes an average of 8 minutes and 50 seconds to do the round trip, spending an average of 1 minute and 15 seconds at each level. The average journey time between levels is 1 minute. The original hydraulic mechanism is on public display in a small museum at the base of the east and west legs. Because the mechanism requires frequent lubrication and maintenance, public access is often restricted. The rope mechanism of the north tower can be seen as visitors exit the lift.[citation needed]
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Gustave Eiffel engraved on the tower the names of 72 French scientists, engineers and mathematicians in recognition of their contributions to the building of the tower. Eiffel chose this "invocation of science" because of his concern over the artists' protest. At the beginning of the 20th century, the engravings were painted over, but they were restored in 1986–87 by the Société Nouvelle d'exploitation de la Tour Eiffel, a company operating the tower.[69]
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The tower is painted in three shades: lighter at the top, getting progressively darker towards the bottom to complement the Parisian sky.[70] It was originally reddish brown; this changed in 1968 to a bronze colour known as "Eiffel Tower Brown".[71]
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The only non-structural elements are the four decorative grill-work arches, added in Sauvestre's sketches, which served to make the tower look more substantial and to make a more impressive entrance to the exposition.[72]
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A pop-culture movie cliché is that the view from a Parisian window always includes the tower.[73] In reality, since zoning restrictions limit the height of most buildings in Paris to seven storeys, only a small number of tall buildings have a clear view of the tower.[citation needed]
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Maintenance of the tower includes applying 60 tons of paint every seven years to prevent it from rusting. The tower has been completely repainted at least 19 times since it was built. Lead paint was still being used as recently as 2001 when the practice was stopped out of concern for the environment.[54][74]
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The nearest Paris Métro station is Bir-Hakeim and the nearest RER station is Champ de Mars-Tour Eiffel.[75] The tower itself is located at the intersection of the quai Branly and the Pont d'Iéna.
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More than 250 million people have visited the tower since it was completed in 1889.[3] In 2015, there were 6.91 million visitors.[76] The tower is the most-visited paid monument in the world.[77] An average of 25,000 people ascend the tower every day which can result in long queues.[78]
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The tower has two restaurants: Le 58 Tour Eiffel on the first level, and Le Jules Verne, a gourmet restaurant with its own lift on the second level. This restaurant has one star in the Michelin Red Guide. It was run by the multi-Michelin star chef Alain Ducasse from 2007 to 2017.[79] Starting May 2019, it will be managed by three star chef Frédéric Anton.[80] It owes its name to the famous science-fiction writer Jules Verne. Additionally, there is a champagne bar at the top of the Eiffel Tower.
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From 1937 until 1981, there was a restaurant near the top of the tower. It was removed due to structural considerations; engineers had determined it was too heavy and was causing the tower to sag.[81] This restaurant was sold to an American restaurateur and transported to New York and then New Orleans. It was rebuilt on the edge of New Orleans' Garden District as a restaurant and later event hall.[82]
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As one of the most iconic landmarks in the world, the Eiffel Tower has been the inspiration for the creation of many replicas and similar towers. An early example is Blackpool Tower in England. The mayor of Blackpool, Sir John Bickerstaffe, was so impressed on seeing the Eiffel Tower at the 1889 exposition that he commissioned a similar tower to be built in his town. It opened in 1894 and is 158.1 metres (518 ft) tall.[83] Tokyo Tower in Japan, built as a communications tower in 1958, was also inspired by the Eiffel Tower.[84]
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There are various scale models of the tower in the United States, including a half-scale version at the Paris Las Vegas, Nevada, one in Paris, Texas built in 1993, and two 1:3 scale models at Kings Island, Ohio, and Kings Dominion, Virginia, amusement parks opened in 1972 and 1975 respectively. Two 1:3 scale models can be found in China, one in Durango, Mexico that was donated by the local French community, and several across Europe.[85]
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In 2011, the TV show Pricing the Priceless on the National Geographic Channel speculated that a full-size replica of the tower would cost approximately US$480 million to build.[86] This would be more than ten times the cost of the original (nearly 8 million in 1890 Francs; ~US$40 million in 2018 dollars).
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The tower has been used for making radio transmissions since the beginning of the 20th century. Until the 1950s, sets of aerial wires ran from the cupola to anchors on the Avenue de Suffren and Champ de Mars. These were connected to longwave transmitters in small bunkers. In 1909, a permanent underground radio centre was built near the south pillar, which still exists today. On 20 November 1913, the Paris Observatory, using the Eiffel Tower as an aerial, exchanged wireless signals with the United States Naval Observatory, which used an aerial in Arlington, Virginia. The object of the transmissions was to measure the difference in longitude between Paris and Washington, D.C.[87] Today, radio and digital television signals are transmitted from the Eiffel Tower.
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A television antenna was first installed on the tower in 1957, increasing its height by 18.7 m (61.4 ft). Work carried out in 2000 added a further 5.3 m (17.4 ft), giving the current height of 324 m (1,063 ft).[54] Analogue television signals from the Eiffel Tower ceased on 8 March 2011.
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The tower and its image have been in the public domain since 1993, 70 years after Eiffel's death.[88] In June 1990 a French court ruled that a special lighting display on the tower in 1989 to mark the tower's 100th anniversary was an "original visual creation" protected by copyright. The Court of Cassation, France's judicial court of last resort, upheld the ruling in March 1992.[89] The Société d'Exploitation de la Tour Eiffel (SETE) now considers any illumination of the tower to be a separate work of art that falls under copyright.[90] As a result, the SNTE alleges that it is illegal to publish contemporary photographs of the lit tower at night without permission in France and some other countries for commercial use.[91][92]
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The imposition of copyright has been controversial. The Director of Documentation for what was then called the Société Nouvelle d'exploitation de la Tour Eiffel (SNTE), Stéphane Dieu, commented in 2005: "It is really just a way to manage commercial use of the image, so that it isn't used in ways [of which] we don't approve".[93] SNTE made over €1 million from copyright fees in 2002.[94] However, it could also be used to restrict the publication of tourist photographs of the tower at night, as well as hindering non-profit and semi-commercial publication of images of the illuminated tower.[95]
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French doctrine and jurisprudence allows pictures incorporating a copyrighted work as long as their presence is incidental or accessory to the subject being represented,[96] a reasoning akin to the de minimis rule. Therefore, SETE may be unable to claim copyright on photographs of Paris which happen to include the lit tower.
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The Eiffel Tower was the world's tallest structure when completed in 1889, a distinction it retained until 1929 when the Chrysler Building in New York City was topped out.[97] The tower also lost its standing as the world's tallest tower to the Tokyo Tower in 1958 but retains its status as the tallest freestanding (non-guyed) structure in France.
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The Eiffel Tower (/ˈaɪfəl/ EYE-fəl; French: tour Eiffel [tuʁ‿ɛfɛl] (listen)) is a wrought-iron lattice tower on the Champ de Mars in Paris, France. It is named after the engineer Gustave Eiffel, whose company designed and built the tower.
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Constructed from 1887 to 1889 as the entrance to the 1889 World's Fair, it was initially criticised by some of France's leading artists and intellectuals for its design, but it has become a global cultural icon of France and one of the most recognisable structures in the world.[3] The Eiffel Tower is the most-visited paid monument in the world; 6.91 million people ascended it in 2015.
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The tower is 324 metres (1,063 ft) tall, about the same height as an 81-storey building, and the tallest structure in Paris. Its base is square, measuring 125 metres (410 ft) on each side. During its construction, the Eiffel Tower surpassed the Washington Monument to become the tallest man-made structure in the world, a title it held for 41 years until the Chrysler Building in New York City was finished in 1930. It was the first structure to reach a height of 300 metres. Due to the addition of a broadcasting aerial at the top of the tower in 1957, it is now taller than the Chrysler Building by 5.2 metres (17 ft). Excluding transmitters, the Eiffel Tower is the second tallest free-standing structure in France after the Millau Viaduct.
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The tower has three levels for visitors, with restaurants on the first and second levels. The top level's upper platform is 276 m (906 ft) above the ground – the highest observation deck accessible to the public in the European Union. Tickets can be purchased to ascend by stairs or lift to the first and second levels. The climb from ground level to the first level is over 300 steps, as is the climb from the first level to the second. Although there is a staircase to the top level, it is usually accessible only by lift.
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The design of the Eiffel Tower is attributed to Maurice Koechlin and Émile Nouguier, two senior engineers working for the Compagnie des Établissements Eiffel. It was envisioned after discussion about a suitable centrepiece for the proposed 1889 Exposition Universelle, a world's fair to celebrate the centennial of the French Revolution. Eiffel openly acknowledged that inspiration for a tower came from the Latting Observatory built in New York City in 1853.[4] In May 1884, working at home, Koechlin made a sketch of their idea, described by him as "a great pylon, consisting of four lattice girders standing apart at the base and coming together at the top, joined together by metal trusses at regular intervals".[5] Eiffel initially showed little enthusiasm, but he did approve further study, and the two engineers then asked Stephen Sauvestre, the head of company's architectural department, to contribute to the design. Sauvestre added decorative arches to the base of the tower, a glass pavilion to the first level, and other embellishments.
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The new version gained Eiffel's support: he bought the rights to the patent on the design which Koechlin, Nougier, and Sauvestre had taken out, and the design was exhibited at the Exhibition of Decorative Arts in the autumn of 1884 under the company name. On 30 March 1885, Eiffel presented his plans to the Société des Ingénieurs Civils; after discussing the technical problems and emphasising the practical uses of the tower, he finished his talk by saying the tower would symbolise:
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[n]ot only the art of the modern engineer, but also the century of Industrand Science in which we are living, and for which the way was prepared by the great scientific movement of the eighteenth century and by the Revolution of 1789, to which this monument will be built as an expression of France's gratitude.[6]
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Little progress was made until 1886, when Jules Grévy was re-elected as president of France and Édouard Lockroy was appointed as minister for trade. A budget for the exposition was passed and, on 1 May, Lockroy announced an alteration to the terms of the open competition being held for a centrepiece to the exposition, which effectively made the selection of Eiffel's design a foregone conclusion, as entries had to include a study for a 300 m (980 ft) four-sided metal tower on the Champ de Mars.[6] (A 300-meter tower was then considered a herculean engineering effort). On 12 May, a commission was set up to examine Eiffel's scheme and its rivals, which, a month later, decided that all the proposals except Eiffel's were either impractical or lacking in details.
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After some debate about the exact location of the tower, a contract was signed on 8 January 1887. This was signed by Eiffel acting in his own capacity rather than as the representative of his company, and granted him 1.5 million francs toward the construction costs: less than a quarter of the estimated 6.5 million francs. Eiffel was to receive all income from the commercial exploitation of the tower during the exhibition and for the next 20 years. He later established a separate company to manage the tower, putting up half the necessary capital himself.[7]
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The proposed tower had been a subject of controversy, drawing criticism from those who did not believe it was feasible and those who objected on artistic grounds. Prior to the Eiffel Tower's construction, no structure had ever been constructed to a height of at least 300 metres, and many people believed it impossible. These objections were an expression of a long-standing debate in France about the relationship between architecture and engineering. It came to a head as work began at the Champ de Mars: a "Committee of Three Hundred" (one member for each metre of the tower's height) was formed, led by the prominent architect Charles Garnier and including some of the most important figures of the arts, such as William-Adolphe Bouguereau, Guy de Maupassant, Charles Gounod and Jules Massenet. A petition called "Artists against the Eiffel Tower" was sent to the Minister of Works and Commissioner for the Exposition, Adolphe Alphand, and it was published by Le Temps on 14 February 1887:
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We, writers, painters, sculptors, architects and passionate devotees of the hitherto untouched beauty of Paris, protest with all our strength, with all our indignation in the name of slighted French taste, against the erection … of this useless and monstrous Eiffel Tower … To bring our arguments home, imagine for a moment a giddy, ridiculous tower dominating Paris like a gigantic black smokestack, crushing under its barbaric bulk Notre Dame, the Tour Saint-Jacques, the Louvre, the Dome of les Invalides, the Arc de Triomphe, all of our humiliated monuments will disappear in this ghastly dream. And for twenty years … we shall see stretching like a blot of ink the hateful shadow of the hateful column of bolted sheet metal.[8]
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Gustave Eiffel responded to these criticisms by comparing his tower to the Egyptian pyramids: "My tower will be the tallest edifice ever erected by man. Will it not also be grandiose in its way? And why would something admirable in Egypt become hideous and ridiculous in Paris?"[9] These criticisms were also dealt with by Édouard Lockroy in a letter of support written to Alphand, sardonically saying,[10] "Judging by the stately swell of the rhythms, the beauty of the metaphors, the elegance of its delicate and precise style, one can tell this protest is the result of collaboration of the most famous writers and poets of our time", and he explained that the protest was irrelevant since the project had been decided upon months before, and construction on the tower was already under way.
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Indeed, Garnier was a member of the Tower Commission that had examined the various proposals, and had raised no objection. Eiffel was similarly unworried, pointing out to a journalist that it was premature to judge the effect of the tower solely on the basis of the drawings, that the Champ de Mars was distant enough from the monuments mentioned in the protest for there to be little risk of the tower overwhelming them, and putting the aesthetic argument for the tower: "Do not the laws of natural forces always conform to the secret laws of harmony?"[11]
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Some of the protesters changed their minds when the tower was built; others remained unconvinced.[12] Guy de Maupassant supposedly ate lunch in the tower's restaurant every day because it was the one place in Paris where the tower was not visible.[13]
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By 1918, it had become a symbol of Paris and of France after Guillaume Apollinaire wrote a nationalist poem in the shape of the tower (a calligram) to express his feelings about the war against Germany.[14] Today, it is widely considered to be a remarkable piece of structural art, and is often featured in films and literature.
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Work on the foundations started on 28 January 1887.[15] Those for the east and south legs were straightforward, with each leg resting on four 2 m (6.6 ft) concrete slabs, one for each of the principal girders of each leg. The west and north legs, being closer to the river Seine, were more complicated: each slab needed two piles installed by using compressed-air caissons 15 m (49 ft) long and 6 m (20 ft) in diameter driven to a depth of 22 m (72 ft)[16] to support the concrete slabs, which were 6 m (20 ft) thick. Each of these slabs supported a block of limestone with an inclined top to bear a supporting shoe for the ironwork.
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Each shoe was anchored to the stonework by a pair of bolts 10 cm (4 in) in diameter and 7.5 m (25 ft) long. The foundations were completed on 30 June, and the erection of the ironwork began. The visible work on-site was complemented by the enormous amount of exacting preparatory work that took place behind the scenes: the drawing office produced 1,700 general drawings and 3,629 detailed drawings of the 18,038 different parts needed.[17] The task of drawing the components was complicated by the complex angles involved in the design and the degree of precision required: the position of rivet holes was specified to within 1 mm (0.04 in) and angles worked out to one second of arc.[18] The finished components, some already riveted together into sub-assemblies, arrived on horse-drawn carts from a factory in the nearby Parisian suburb of Levallois-Perret and were first bolted together, with the bolts being replaced with rivets as construction progressed. No drilling or shaping was done on site: if any part did not fit, it was sent back to the factory for alteration. In all, 18,038 pieces were joined together using 2.5 million rivets.[15]
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At first, the legs were constructed as cantilevers, but about halfway to the first level construction was paused in order to create a substantial timber scaffold. This renewed concerns about the structural integrity of the tower, and sensational headlines such as "Eiffel Suicide!" and "Gustave Eiffel Has Gone Mad: He Has Been Confined in an Asylum" appeared in the tabloid press.[19] At this stage, a small "creeper" crane designed to move up the tower was installed in each leg. They made use of the guides for the lifts which were to be fitted in the four legs. The critical stage of joining the legs at the first level was completed by the end of March 1888.[15] Although the metalwork had been prepared with the utmost attention to detail, provision had been made to carry out small adjustments in order to precisely align the legs; hydraulic jacks were fitted to the shoes at the base of each leg, capable of exerting a force of 800 tonnes, and the legs were intentionally constructed at a slightly steeper angle than necessary, being supported by sandboxes on the scaffold. Although construction involved 300 on-site employees,[15] only one person died, due to Eiffel's safety precautions and the use of movable gangways, guardrails and screens.[20]
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The start of the erection of the metalwork
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7 December 1887: Construction of the legs with scaffolding
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20 March 1888: Completion of the first level
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15 May 1888: Start of construction on the second stage
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21 August 1888: Completion of the second level
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26 December 1888: Construction of the upper stage
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15 March 1889: Construction of the cupola
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Equipping the tower with adequate and safe passenger lifts was a major concern of the government commission overseeing the Exposition. Although some visitors could be expected to climb to the first level, or even the second, lifts clearly had to be the main means of ascent.[21]
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Constructing lifts to reach the first level was relatively straightforward: the legs were wide enough at the bottom and so nearly straight that they could contain a straight track, and a contract was given to the French company Roux, Combaluzier & Lepape for two lifts to be fitted in the east and west legs.[22] Roux, Combaluzier & Lepape used a pair of endless chains with rigid, articulated links to which the car was attached. Lead weights on some links of the upper or return sections of the chains counterbalanced most of the car's weight. The car was pushed up from below, not pulled up from above: to prevent the chain buckling, it was enclosed in a conduit. At the bottom of the run, the chains passed around 3.9 m (12 ft 10 in) diameter sprockets. Smaller sprockets at the top guided the chains.[22]
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Installing lifts to the second level was more of a challenge because a straight track was impossible. No French company wanted to undertake the work. The European branch of Otis Brothers & Company submitted a proposal but this was rejected: the fair's charter ruled out the use of any foreign material in the construction of the tower. The deadline for bids was extended but still no French companies put themselves forward, and eventually the contract was given to Otis in July 1887.[23] Otis were confident they would eventually be given the contract and had already started creating designs.
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The car was divided into two superimposed compartments, each holding 25 passengers, with the lift operator occupying an exterior platform on the first level. Motive power was provided by an inclined hydraulic ram 12.67 m (41 ft 7 in) long and 96.5 cm (38.0 in) in diameter in the tower leg with a stroke of 10.83 m (35 ft 6 in): this moved a carriage carrying six sheaves. Five fixed sheaves were mounted higher up the leg, producing an arrangement similar to a block and tackle but acting in reverse, multiplying the stroke of the piston rather than the force generated. The hydraulic pressure in the driving cylinder was produced by a large open reservoir on the second level. After being exhausted from the cylinder, the water was pumped back up to the reservoir by two pumps in the machinery room at the base of the south leg. This reservoir also provided power to the lifts to the first level.
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The original lifts for the journey between the second and third levels were supplied by Léon Edoux. A pair of 81 m (266 ft) hydraulic rams were mounted on the second level, reaching nearly halfway up to the third level. One lift car was mounted on top of these rams: cables ran from the top of this car up to sheaves on the third level and back down to a second car. Each car only travelled half the distance between the second and third levels and passengers were required to change lifts halfway by means of a short gangway. The 10-ton cars each held 65 passengers.[24]
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The main structural work was completed at the end of March 1889 and, on 31 March, Eiffel celebrated by leading a group of government officials, accompanied by representatives of the press, to the top of the tower.[12] Because the lifts were not yet in operation, the ascent was made by foot, and took over an hour, with Eiffel stopping frequently to explain various features. Most of the party chose to stop at the lower levels, but a few, including the structural engineer, Émile Nouguier, the head of construction, Jean Compagnon, the President of the City Council, and reporters from Le Figaro and Le Monde Illustré, completed the ascent. At 2:35 pm, Eiffel hoisted a large Tricolour to the accompaniment of a 25-gun salute fired at the first level.[25]
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There was still work to be done, particularly on the lifts and facilities, and the tower was not opened to the public until nine days after the opening of the exposition on 6 May; even then, the lifts had not been completed. The tower was an instant success with the public, and nearly 30,000 visitors made the 1,710-step climb to the top before the lifts entered service on 26 May.[26]
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Tickets cost 2 francs for the first level, 3 for the second, and 5 for the top, with half-price admission on Sundays,[27] and by the end of the exhibition there had been 1,896,987 visitors.[3]
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After dark, the tower was lit by hundreds of gas lamps, and a beacon sent out three beams of red, white and blue light. Two searchlights mounted on a circular rail were used to illuminate various buildings of the exposition. The daily opening and closing of the exposition were announced by a cannon at the top.
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On the second level, the French newspaper Le Figaro had an office and a printing press, where a special souvenir edition, Le Figaro de la Tour, was made. There was also a pâtisserie.
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At the top, there was a post office where visitors could send letters and postcards as a memento of their visit. Graffitists were also catered for: sheets of paper were mounted on the walls each day for visitors to record their impressions of the tower. Gustave Eiffel described some of the responses as vraiment curieuse ("truly curious").[28]
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Famous visitors to the tower included the Prince of Wales, Sarah Bernhardt, "Buffalo Bill" Cody (his Wild West show was an attraction at the exposition) and Thomas Edison.[26] Eiffel invited Edison to his private apartment at the top of the tower, where Edison presented him with one of his phonographs, a new invention and one of the many highlights of the exposition.[29] Edison signed the guestbook with this message:
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To M Eiffel the Engineer the brave builder of so gigantic and original specimen of modern Engineering from one who has the greatest respect and admiration for all Engineers including the Great Engineer the Bon Dieu, Thomas Edison.
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Eiffel had a permit for the tower to stand for 20 years. It was to be dismantled in 1909, when its ownership would revert to the City of Paris. The City had planned to tear it down (part of the original contest rules for designing a tower was that it should be easy to dismantle) but as the tower proved to be valuable for communication purposes, it was allowed to remain after the expiry of the permit.
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Eiffel made use of his apartment at the top of the tower to carry out meteorological observations, and also used the tower to perform experiments on the action of air resistance on falling bodies.[30]
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For the 1900 Exposition Universelle, the lifts in the east and west legs were replaced by lifts running as far as the second level constructed by the French firm Fives-Lille. These had a compensating mechanism to keep the floor level as the angle of ascent changed at the first level, and were driven by a similar hydraulic mechanism to the Otis lifts, although this was situated at the base of the tower. Hydraulic pressure was provided by pressurised accumulators located near this mechanism.[23] At the same time the lift in the north pillar was removed and replaced by a staircase to the first level. The layout of both first and second levels was modified, with the space available for visitors on the second level. The original lift in the south pillar was removed 13 years later.
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On 19 October 1901, Alberto Santos-Dumont, flying his No.6 airship, won a 100,000-franc prize offered by Henri Deutsch de la Meurthe for the first person to make a flight from St. Cloud to the Eiffel Tower and back in less than half an hour.[31]
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Many innovations took place at the Eiffel Tower in the early 20th century. In 1910, Father Theodor Wulf measured radiant energy at the top and bottom of the tower. He found more at the top than expected, incidentally discovering what are known today as cosmic rays.[32] Just two years later, on 4 February 1912, Austrian tailor Franz Reichelt died after jumping from the first level of the tower (a height of 57 metres) to demonstrate his parachute design.[33] In 1914, at the outbreak of World War I, a radio transmitter located in the tower jammed German radio communications, seriously hindering their advance on Paris and contributing to the Allied victory at the First Battle of the Marne.[34] From 1925 to 1934, illuminated signs for Citroën adorned three of the tower's sides, making it the tallest advertising space in the world at the time.[35] In April 1935, the tower was used to make experimental low-resolution television transmissions, using a shortwave transmitter of 200 watts power. On 17 November, an improved 180-line transmitter was installed.[36]
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On two separate but related occasions in 1925, the con artist Victor Lustig "sold" the tower for scrap metal.[37] A year later, in February 1926, pilot Leon Collet was killed trying to fly under the tower. His aircraft became entangled in an aerial belonging to a wireless station.[38] A bust of Gustave Eiffel by Antoine Bourdelle was unveiled at the base of the north leg on 2 May 1929.[39] In 1930, the tower lost the title of the world's tallest structure when the Chrysler Building in New York City was completed.[40] In 1938, the decorative arcade around the first level was removed.[41]
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Upon the German occupation of Paris in 1940, the lift cables were cut by the French. The tower was closed to the public during the occupation and the lifts were not repaired until 1946.[42] In 1940, German soldiers had to climb the tower to hoist a swastika-centered Reichskriegsflagge,[43] but the flag was so large it blew away just a few hours later, and was replaced by a smaller one.[44] When visiting Paris, Hitler chose to stay on the ground. When the Allies were nearing Paris in August 1944, Hitler ordered General Dietrich von Choltitz, the military governor of Paris, to demolish the tower along with the rest of the city. Von Choltitz disobeyed the order.[45] On 25 June, before the Germans had been driven out of Paris, the German flag was replaced with a Tricolour by two men from the French Naval Museum, who narrowly beat three men led by Lucien Sarniguet, who had lowered the Tricolour on 13 June 1940 when Paris fell to the Germans.[42]
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A fire started in the television transmitter on 3 January 1956, damaging the top of the tower. Repairs took a year, and in 1957, the present radio aerial was added to the top.[46] In 1964, the Eiffel Tower was officially declared to be a historical monument by the Minister of Cultural Affairs, André Malraux.[47] A year later, an additional lift system was installed in the north pillar.[48]
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According to interviews, in 1967, Montreal Mayor Jean Drapeau negotiated a secret agreement with Charles de Gaulle for the tower to be dismantled and temporarily relocated to Montreal to serve as a landmark and tourist attraction during Expo 67. The plan was allegedly vetoed by the company operating the tower out of fear that the French government could refuse permission for the tower to be restored in its original location.[49]
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In 1982, the original lifts between the second and third levels were replaced after 97 years in service. These had been closed to the public between November and March because the water in the hydraulic drive tended to freeze. The new cars operate in pairs, with one counterbalancing the other, and perform the journey in one stage, reducing the journey time from eight minutes to less than two minutes. At the same time, two new emergency staircases were installed, replacing the original spiral staircases. In 1983, the south pillar was fitted with an electrically driven Otis lift to serve the Jules Verne restaurant.[citation needed] The Fives-Lille lifts in the east and west legs, fitted in 1899, were extensively refurbished in 1986. The cars were replaced, and a computer system was installed to completely automate the lifts. The motive power was moved from the water hydraulic system to a new electrically driven oil-filled hydraulic system, and the original water hydraulics were retained solely as a counterbalance system.[48] A service lift was added to the south pillar for moving small loads and maintenance personnel three years later.
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Robert Moriarty flew a Beechcraft Bonanza under the tower on 31 March 1984.[50] In 1987, A.J. Hackett made one of his first bungee jumps from the top of the Eiffel Tower, using a special cord he had helped develop. Hackett was arrested by the police.[51] On 27 October 1991, Thierry Devaux, along with mountain guide Hervé Calvayrac, performed a series of acrobatic figures while bungee jumping from the second floor of the tower. Facing the Champ de Mars, Devaux used an electric winch between figures to go back up to the second floor. When firemen arrived, he stopped after the sixth jump.[52]
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For its "Countdown to the Year 2000" celebration on 31 December 1999, flashing lights and high-powered searchlights were installed on the tower. During the last three minutes of the year, the lights will turn on starting from the base of the tower and continuing on until it gets to the top to welcome 2000 with a huge fireworks show. An exhibition above a cafeteria on the first floor commemorates this event. The searchlights on top of the tower made it a beacon in Paris's night sky, and 20,000 flashing bulbs gave the tower a sparkly appearance for five minutes every hour on the hour.[53]
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The lights sparkled blue for several nights to herald the new millennium on 31 December 2000. The sparkly lighting continued for 18 months until July 2001. The sparkling lights were turned on again on 21 June 2003, and the display was planned to last for 10 years before they needed replacing.[54]
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The tower received its 200,000,000th guest on 28 November 2002.[55] The tower has operated at its maximum capacity of about 7 million visitors since 2003.[56] In 2004, the Eiffel Tower began hosting a seasonal ice rink on the first level.[57] A glass floor was installed on the first level during the 2014 refurbishment.[58]
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The puddled iron (wrought iron) of the Eiffel Tower weighs 7,300 tons,[59] and the addition of lifts, shops and antennae have brought the total weight to approximately 10,100 tons.[60] As a demonstration of the economy of design, if the 7,300 tons of metal in the structure were melted down, it would fill the square base, 125 metres (410 ft) on each side, to a depth of only 6.25 cm (2.46 in) assuming the density of the metal to be 7.8 tons per cubic metre.[61] Additionally, a cubic box surrounding the tower (324 m x 125 m x 125 m) would contain 6,200 tons of air, weighing almost as much as the iron itself. Depending on the ambient temperature, the top of the tower may shift away from the sun by up to 18 cm (7 in) due to thermal expansion of the metal on the side facing the sun.[62]
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When it was built, many were shocked by the tower's daring form. Eiffel was accused of trying to create something artistic with no regard to the principles of engineering. However, Eiffel and his team – experienced bridge builders – understood the importance of wind forces, and knew that if they were going to build the tallest structure in the world, they had to be sure it could withstand them. In an interview with the newspaper Le Temps published on 14 February 1887, Eiffel said:
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Is it not true that the very conditions which give strength also conform to the hidden rules of harmony? … Now to what phenomenon did I have to give primary concern in designing the Tower? It was wind resistance. Well then! I hold that the curvature of the monument's four outer edges, which is as mathematical calculation dictated it should be … will give a great impression of strength and beauty, for it will reveal to the eyes of the observer the boldness of the design as a whole.[63]
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He used graphical methods to determine the strength of the tower and empirical evidence to account for the effects of wind, rather than a mathematical formula. Close examination of the tower reveals a basically exponential shape.[64] All parts of the tower were over-designed to ensure maximum resistance to wind forces. The top half was even assumed to have no gaps in the latticework.[65] In the years since it was completed, engineers have put forward various mathematical hypotheses in an attempt to explain the success of the design. The most recent, devised in 2004 after letters sent by Eiffel to the French Society of Civil Engineers in 1885 were translated into English, is described as a non-linear integral equation based on counteracting the wind pressure on any point of the tower with the tension between the construction elements at that point.[64]
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The Eiffel Tower sways by up to 9 centimetres (3.5 in) in the wind.[66]
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When originally built, the first level contained three restaurants — one French, one Russian and one Flemish — and an "Anglo-American Bar". After the exposition closed, the Flemish restaurant was converted to a 250-seat theatre. A promenade 2.6-metre (8 ft 6 in) wide ran around the outside of the first level. At the top, there were laboratories for various experiments, and a small apartment reserved for Gustave Eiffel to entertain guests, which is now open to the public, complete with period decorations and lifelike mannequins of Eiffel and some of his notable guests.[67]
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In May 2016, an apartment was created on the first level to accommodate four competition winners during the UEFA Euro 2016 football tournament in Paris in June. The apartment has a kitchen, two bedrooms, a lounge, and views of Paris landmarks including the Seine, the Sacre Coeur, and the Arc de Triomphe.[68]
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The arrangement of the lifts has been changed several times during the tower's history. Given the elasticity of the cables and the time taken to align the cars with the landings, each lift, in normal service, takes an average of 8 minutes and 50 seconds to do the round trip, spending an average of 1 minute and 15 seconds at each level. The average journey time between levels is 1 minute. The original hydraulic mechanism is on public display in a small museum at the base of the east and west legs. Because the mechanism requires frequent lubrication and maintenance, public access is often restricted. The rope mechanism of the north tower can be seen as visitors exit the lift.[citation needed]
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Gustave Eiffel engraved on the tower the names of 72 French scientists, engineers and mathematicians in recognition of their contributions to the building of the tower. Eiffel chose this "invocation of science" because of his concern over the artists' protest. At the beginning of the 20th century, the engravings were painted over, but they were restored in 1986–87 by the Société Nouvelle d'exploitation de la Tour Eiffel, a company operating the tower.[69]
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The tower is painted in three shades: lighter at the top, getting progressively darker towards the bottom to complement the Parisian sky.[70] It was originally reddish brown; this changed in 1968 to a bronze colour known as "Eiffel Tower Brown".[71]
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The only non-structural elements are the four decorative grill-work arches, added in Sauvestre's sketches, which served to make the tower look more substantial and to make a more impressive entrance to the exposition.[72]
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A pop-culture movie cliché is that the view from a Parisian window always includes the tower.[73] In reality, since zoning restrictions limit the height of most buildings in Paris to seven storeys, only a small number of tall buildings have a clear view of the tower.[citation needed]
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Maintenance of the tower includes applying 60 tons of paint every seven years to prevent it from rusting. The tower has been completely repainted at least 19 times since it was built. Lead paint was still being used as recently as 2001 when the practice was stopped out of concern for the environment.[54][74]
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The nearest Paris Métro station is Bir-Hakeim and the nearest RER station is Champ de Mars-Tour Eiffel.[75] The tower itself is located at the intersection of the quai Branly and the Pont d'Iéna.
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More than 250 million people have visited the tower since it was completed in 1889.[3] In 2015, there were 6.91 million visitors.[76] The tower is the most-visited paid monument in the world.[77] An average of 25,000 people ascend the tower every day which can result in long queues.[78]
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The tower has two restaurants: Le 58 Tour Eiffel on the first level, and Le Jules Verne, a gourmet restaurant with its own lift on the second level. This restaurant has one star in the Michelin Red Guide. It was run by the multi-Michelin star chef Alain Ducasse from 2007 to 2017.[79] Starting May 2019, it will be managed by three star chef Frédéric Anton.[80] It owes its name to the famous science-fiction writer Jules Verne. Additionally, there is a champagne bar at the top of the Eiffel Tower.
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From 1937 until 1981, there was a restaurant near the top of the tower. It was removed due to structural considerations; engineers had determined it was too heavy and was causing the tower to sag.[81] This restaurant was sold to an American restaurateur and transported to New York and then New Orleans. It was rebuilt on the edge of New Orleans' Garden District as a restaurant and later event hall.[82]
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As one of the most iconic landmarks in the world, the Eiffel Tower has been the inspiration for the creation of many replicas and similar towers. An early example is Blackpool Tower in England. The mayor of Blackpool, Sir John Bickerstaffe, was so impressed on seeing the Eiffel Tower at the 1889 exposition that he commissioned a similar tower to be built in his town. It opened in 1894 and is 158.1 metres (518 ft) tall.[83] Tokyo Tower in Japan, built as a communications tower in 1958, was also inspired by the Eiffel Tower.[84]
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There are various scale models of the tower in the United States, including a half-scale version at the Paris Las Vegas, Nevada, one in Paris, Texas built in 1993, and two 1:3 scale models at Kings Island, Ohio, and Kings Dominion, Virginia, amusement parks opened in 1972 and 1975 respectively. Two 1:3 scale models can be found in China, one in Durango, Mexico that was donated by the local French community, and several across Europe.[85]
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In 2011, the TV show Pricing the Priceless on the National Geographic Channel speculated that a full-size replica of the tower would cost approximately US$480 million to build.[86] This would be more than ten times the cost of the original (nearly 8 million in 1890 Francs; ~US$40 million in 2018 dollars).
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The tower has been used for making radio transmissions since the beginning of the 20th century. Until the 1950s, sets of aerial wires ran from the cupola to anchors on the Avenue de Suffren and Champ de Mars. These were connected to longwave transmitters in small bunkers. In 1909, a permanent underground radio centre was built near the south pillar, which still exists today. On 20 November 1913, the Paris Observatory, using the Eiffel Tower as an aerial, exchanged wireless signals with the United States Naval Observatory, which used an aerial in Arlington, Virginia. The object of the transmissions was to measure the difference in longitude between Paris and Washington, D.C.[87] Today, radio and digital television signals are transmitted from the Eiffel Tower.
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A television antenna was first installed on the tower in 1957, increasing its height by 18.7 m (61.4 ft). Work carried out in 2000 added a further 5.3 m (17.4 ft), giving the current height of 324 m (1,063 ft).[54] Analogue television signals from the Eiffel Tower ceased on 8 March 2011.
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The tower and its image have been in the public domain since 1993, 70 years after Eiffel's death.[88] In June 1990 a French court ruled that a special lighting display on the tower in 1989 to mark the tower's 100th anniversary was an "original visual creation" protected by copyright. The Court of Cassation, France's judicial court of last resort, upheld the ruling in March 1992.[89] The Société d'Exploitation de la Tour Eiffel (SETE) now considers any illumination of the tower to be a separate work of art that falls under copyright.[90] As a result, the SNTE alleges that it is illegal to publish contemporary photographs of the lit tower at night without permission in France and some other countries for commercial use.[91][92]
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The imposition of copyright has been controversial. The Director of Documentation for what was then called the Société Nouvelle d'exploitation de la Tour Eiffel (SNTE), Stéphane Dieu, commented in 2005: "It is really just a way to manage commercial use of the image, so that it isn't used in ways [of which] we don't approve".[93] SNTE made over €1 million from copyright fees in 2002.[94] However, it could also be used to restrict the publication of tourist photographs of the tower at night, as well as hindering non-profit and semi-commercial publication of images of the illuminated tower.[95]
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French doctrine and jurisprudence allows pictures incorporating a copyrighted work as long as their presence is incidental or accessory to the subject being represented,[96] a reasoning akin to the de minimis rule. Therefore, SETE may be unable to claim copyright on photographs of Paris which happen to include the lit tower.
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The Eiffel Tower was the world's tallest structure when completed in 1889, a distinction it retained until 1929 when the Chrysler Building in New York City was topped out.[97] The tower also lost its standing as the world's tallest tower to the Tokyo Tower in 1958 but retains its status as the tallest freestanding (non-guyed) structure in France.
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The Eiffel Tower (/ˈaɪfəl/ EYE-fəl; French: tour Eiffel [tuʁ‿ɛfɛl] (listen)) is a wrought-iron lattice tower on the Champ de Mars in Paris, France. It is named after the engineer Gustave Eiffel, whose company designed and built the tower.
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Constructed from 1887 to 1889 as the entrance to the 1889 World's Fair, it was initially criticised by some of France's leading artists and intellectuals for its design, but it has become a global cultural icon of France and one of the most recognisable structures in the world.[3] The Eiffel Tower is the most-visited paid monument in the world; 6.91 million people ascended it in 2015.
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The tower is 324 metres (1,063 ft) tall, about the same height as an 81-storey building, and the tallest structure in Paris. Its base is square, measuring 125 metres (410 ft) on each side. During its construction, the Eiffel Tower surpassed the Washington Monument to become the tallest man-made structure in the world, a title it held for 41 years until the Chrysler Building in New York City was finished in 1930. It was the first structure to reach a height of 300 metres. Due to the addition of a broadcasting aerial at the top of the tower in 1957, it is now taller than the Chrysler Building by 5.2 metres (17 ft). Excluding transmitters, the Eiffel Tower is the second tallest free-standing structure in France after the Millau Viaduct.
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The tower has three levels for visitors, with restaurants on the first and second levels. The top level's upper platform is 276 m (906 ft) above the ground – the highest observation deck accessible to the public in the European Union. Tickets can be purchased to ascend by stairs or lift to the first and second levels. The climb from ground level to the first level is over 300 steps, as is the climb from the first level to the second. Although there is a staircase to the top level, it is usually accessible only by lift.
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The design of the Eiffel Tower is attributed to Maurice Koechlin and Émile Nouguier, two senior engineers working for the Compagnie des Établissements Eiffel. It was envisioned after discussion about a suitable centrepiece for the proposed 1889 Exposition Universelle, a world's fair to celebrate the centennial of the French Revolution. Eiffel openly acknowledged that inspiration for a tower came from the Latting Observatory built in New York City in 1853.[4] In May 1884, working at home, Koechlin made a sketch of their idea, described by him as "a great pylon, consisting of four lattice girders standing apart at the base and coming together at the top, joined together by metal trusses at regular intervals".[5] Eiffel initially showed little enthusiasm, but he did approve further study, and the two engineers then asked Stephen Sauvestre, the head of company's architectural department, to contribute to the design. Sauvestre added decorative arches to the base of the tower, a glass pavilion to the first level, and other embellishments.
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The new version gained Eiffel's support: he bought the rights to the patent on the design which Koechlin, Nougier, and Sauvestre had taken out, and the design was exhibited at the Exhibition of Decorative Arts in the autumn of 1884 under the company name. On 30 March 1885, Eiffel presented his plans to the Société des Ingénieurs Civils; after discussing the technical problems and emphasising the practical uses of the tower, he finished his talk by saying the tower would symbolise:
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[n]ot only the art of the modern engineer, but also the century of Industrand Science in which we are living, and for which the way was prepared by the great scientific movement of the eighteenth century and by the Revolution of 1789, to which this monument will be built as an expression of France's gratitude.[6]
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Little progress was made until 1886, when Jules Grévy was re-elected as president of France and Édouard Lockroy was appointed as minister for trade. A budget for the exposition was passed and, on 1 May, Lockroy announced an alteration to the terms of the open competition being held for a centrepiece to the exposition, which effectively made the selection of Eiffel's design a foregone conclusion, as entries had to include a study for a 300 m (980 ft) four-sided metal tower on the Champ de Mars.[6] (A 300-meter tower was then considered a herculean engineering effort). On 12 May, a commission was set up to examine Eiffel's scheme and its rivals, which, a month later, decided that all the proposals except Eiffel's were either impractical or lacking in details.
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After some debate about the exact location of the tower, a contract was signed on 8 January 1887. This was signed by Eiffel acting in his own capacity rather than as the representative of his company, and granted him 1.5 million francs toward the construction costs: less than a quarter of the estimated 6.5 million francs. Eiffel was to receive all income from the commercial exploitation of the tower during the exhibition and for the next 20 years. He later established a separate company to manage the tower, putting up half the necessary capital himself.[7]
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The proposed tower had been a subject of controversy, drawing criticism from those who did not believe it was feasible and those who objected on artistic grounds. Prior to the Eiffel Tower's construction, no structure had ever been constructed to a height of at least 300 metres, and many people believed it impossible. These objections were an expression of a long-standing debate in France about the relationship between architecture and engineering. It came to a head as work began at the Champ de Mars: a "Committee of Three Hundred" (one member for each metre of the tower's height) was formed, led by the prominent architect Charles Garnier and including some of the most important figures of the arts, such as William-Adolphe Bouguereau, Guy de Maupassant, Charles Gounod and Jules Massenet. A petition called "Artists against the Eiffel Tower" was sent to the Minister of Works and Commissioner for the Exposition, Adolphe Alphand, and it was published by Le Temps on 14 February 1887:
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We, writers, painters, sculptors, architects and passionate devotees of the hitherto untouched beauty of Paris, protest with all our strength, with all our indignation in the name of slighted French taste, against the erection … of this useless and monstrous Eiffel Tower … To bring our arguments home, imagine for a moment a giddy, ridiculous tower dominating Paris like a gigantic black smokestack, crushing under its barbaric bulk Notre Dame, the Tour Saint-Jacques, the Louvre, the Dome of les Invalides, the Arc de Triomphe, all of our humiliated monuments will disappear in this ghastly dream. And for twenty years … we shall see stretching like a blot of ink the hateful shadow of the hateful column of bolted sheet metal.[8]
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Gustave Eiffel responded to these criticisms by comparing his tower to the Egyptian pyramids: "My tower will be the tallest edifice ever erected by man. Will it not also be grandiose in its way? And why would something admirable in Egypt become hideous and ridiculous in Paris?"[9] These criticisms were also dealt with by Édouard Lockroy in a letter of support written to Alphand, sardonically saying,[10] "Judging by the stately swell of the rhythms, the beauty of the metaphors, the elegance of its delicate and precise style, one can tell this protest is the result of collaboration of the most famous writers and poets of our time", and he explained that the protest was irrelevant since the project had been decided upon months before, and construction on the tower was already under way.
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Indeed, Garnier was a member of the Tower Commission that had examined the various proposals, and had raised no objection. Eiffel was similarly unworried, pointing out to a journalist that it was premature to judge the effect of the tower solely on the basis of the drawings, that the Champ de Mars was distant enough from the monuments mentioned in the protest for there to be little risk of the tower overwhelming them, and putting the aesthetic argument for the tower: "Do not the laws of natural forces always conform to the secret laws of harmony?"[11]
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Some of the protesters changed their minds when the tower was built; others remained unconvinced.[12] Guy de Maupassant supposedly ate lunch in the tower's restaurant every day because it was the one place in Paris where the tower was not visible.[13]
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By 1918, it had become a symbol of Paris and of France after Guillaume Apollinaire wrote a nationalist poem in the shape of the tower (a calligram) to express his feelings about the war against Germany.[14] Today, it is widely considered to be a remarkable piece of structural art, and is often featured in films and literature.
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Work on the foundations started on 28 January 1887.[15] Those for the east and south legs were straightforward, with each leg resting on four 2 m (6.6 ft) concrete slabs, one for each of the principal girders of each leg. The west and north legs, being closer to the river Seine, were more complicated: each slab needed two piles installed by using compressed-air caissons 15 m (49 ft) long and 6 m (20 ft) in diameter driven to a depth of 22 m (72 ft)[16] to support the concrete slabs, which were 6 m (20 ft) thick. Each of these slabs supported a block of limestone with an inclined top to bear a supporting shoe for the ironwork.
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Each shoe was anchored to the stonework by a pair of bolts 10 cm (4 in) in diameter and 7.5 m (25 ft) long. The foundations were completed on 30 June, and the erection of the ironwork began. The visible work on-site was complemented by the enormous amount of exacting preparatory work that took place behind the scenes: the drawing office produced 1,700 general drawings and 3,629 detailed drawings of the 18,038 different parts needed.[17] The task of drawing the components was complicated by the complex angles involved in the design and the degree of precision required: the position of rivet holes was specified to within 1 mm (0.04 in) and angles worked out to one second of arc.[18] The finished components, some already riveted together into sub-assemblies, arrived on horse-drawn carts from a factory in the nearby Parisian suburb of Levallois-Perret and were first bolted together, with the bolts being replaced with rivets as construction progressed. No drilling or shaping was done on site: if any part did not fit, it was sent back to the factory for alteration. In all, 18,038 pieces were joined together using 2.5 million rivets.[15]
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At first, the legs were constructed as cantilevers, but about halfway to the first level construction was paused in order to create a substantial timber scaffold. This renewed concerns about the structural integrity of the tower, and sensational headlines such as "Eiffel Suicide!" and "Gustave Eiffel Has Gone Mad: He Has Been Confined in an Asylum" appeared in the tabloid press.[19] At this stage, a small "creeper" crane designed to move up the tower was installed in each leg. They made use of the guides for the lifts which were to be fitted in the four legs. The critical stage of joining the legs at the first level was completed by the end of March 1888.[15] Although the metalwork had been prepared with the utmost attention to detail, provision had been made to carry out small adjustments in order to precisely align the legs; hydraulic jacks were fitted to the shoes at the base of each leg, capable of exerting a force of 800 tonnes, and the legs were intentionally constructed at a slightly steeper angle than necessary, being supported by sandboxes on the scaffold. Although construction involved 300 on-site employees,[15] only one person died, due to Eiffel's safety precautions and the use of movable gangways, guardrails and screens.[20]
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The start of the erection of the metalwork
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7 December 1887: Construction of the legs with scaffolding
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20 March 1888: Completion of the first level
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15 May 1888: Start of construction on the second stage
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21 August 1888: Completion of the second level
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26 December 1888: Construction of the upper stage
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15 March 1889: Construction of the cupola
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Equipping the tower with adequate and safe passenger lifts was a major concern of the government commission overseeing the Exposition. Although some visitors could be expected to climb to the first level, or even the second, lifts clearly had to be the main means of ascent.[21]
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Constructing lifts to reach the first level was relatively straightforward: the legs were wide enough at the bottom and so nearly straight that they could contain a straight track, and a contract was given to the French company Roux, Combaluzier & Lepape for two lifts to be fitted in the east and west legs.[22] Roux, Combaluzier & Lepape used a pair of endless chains with rigid, articulated links to which the car was attached. Lead weights on some links of the upper or return sections of the chains counterbalanced most of the car's weight. The car was pushed up from below, not pulled up from above: to prevent the chain buckling, it was enclosed in a conduit. At the bottom of the run, the chains passed around 3.9 m (12 ft 10 in) diameter sprockets. Smaller sprockets at the top guided the chains.[22]
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Installing lifts to the second level was more of a challenge because a straight track was impossible. No French company wanted to undertake the work. The European branch of Otis Brothers & Company submitted a proposal but this was rejected: the fair's charter ruled out the use of any foreign material in the construction of the tower. The deadline for bids was extended but still no French companies put themselves forward, and eventually the contract was given to Otis in July 1887.[23] Otis were confident they would eventually be given the contract and had already started creating designs.
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The car was divided into two superimposed compartments, each holding 25 passengers, with the lift operator occupying an exterior platform on the first level. Motive power was provided by an inclined hydraulic ram 12.67 m (41 ft 7 in) long and 96.5 cm (38.0 in) in diameter in the tower leg with a stroke of 10.83 m (35 ft 6 in): this moved a carriage carrying six sheaves. Five fixed sheaves were mounted higher up the leg, producing an arrangement similar to a block and tackle but acting in reverse, multiplying the stroke of the piston rather than the force generated. The hydraulic pressure in the driving cylinder was produced by a large open reservoir on the second level. After being exhausted from the cylinder, the water was pumped back up to the reservoir by two pumps in the machinery room at the base of the south leg. This reservoir also provided power to the lifts to the first level.
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The original lifts for the journey between the second and third levels were supplied by Léon Edoux. A pair of 81 m (266 ft) hydraulic rams were mounted on the second level, reaching nearly halfway up to the third level. One lift car was mounted on top of these rams: cables ran from the top of this car up to sheaves on the third level and back down to a second car. Each car only travelled half the distance between the second and third levels and passengers were required to change lifts halfway by means of a short gangway. The 10-ton cars each held 65 passengers.[24]
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The main structural work was completed at the end of March 1889 and, on 31 March, Eiffel celebrated by leading a group of government officials, accompanied by representatives of the press, to the top of the tower.[12] Because the lifts were not yet in operation, the ascent was made by foot, and took over an hour, with Eiffel stopping frequently to explain various features. Most of the party chose to stop at the lower levels, but a few, including the structural engineer, Émile Nouguier, the head of construction, Jean Compagnon, the President of the City Council, and reporters from Le Figaro and Le Monde Illustré, completed the ascent. At 2:35 pm, Eiffel hoisted a large Tricolour to the accompaniment of a 25-gun salute fired at the first level.[25]
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There was still work to be done, particularly on the lifts and facilities, and the tower was not opened to the public until nine days after the opening of the exposition on 6 May; even then, the lifts had not been completed. The tower was an instant success with the public, and nearly 30,000 visitors made the 1,710-step climb to the top before the lifts entered service on 26 May.[26]
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Tickets cost 2 francs for the first level, 3 for the second, and 5 for the top, with half-price admission on Sundays,[27] and by the end of the exhibition there had been 1,896,987 visitors.[3]
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After dark, the tower was lit by hundreds of gas lamps, and a beacon sent out three beams of red, white and blue light. Two searchlights mounted on a circular rail were used to illuminate various buildings of the exposition. The daily opening and closing of the exposition were announced by a cannon at the top.
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On the second level, the French newspaper Le Figaro had an office and a printing press, where a special souvenir edition, Le Figaro de la Tour, was made. There was also a pâtisserie.
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At the top, there was a post office where visitors could send letters and postcards as a memento of their visit. Graffitists were also catered for: sheets of paper were mounted on the walls each day for visitors to record their impressions of the tower. Gustave Eiffel described some of the responses as vraiment curieuse ("truly curious").[28]
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Famous visitors to the tower included the Prince of Wales, Sarah Bernhardt, "Buffalo Bill" Cody (his Wild West show was an attraction at the exposition) and Thomas Edison.[26] Eiffel invited Edison to his private apartment at the top of the tower, where Edison presented him with one of his phonographs, a new invention and one of the many highlights of the exposition.[29] Edison signed the guestbook with this message:
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To M Eiffel the Engineer the brave builder of so gigantic and original specimen of modern Engineering from one who has the greatest respect and admiration for all Engineers including the Great Engineer the Bon Dieu, Thomas Edison.
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Eiffel had a permit for the tower to stand for 20 years. It was to be dismantled in 1909, when its ownership would revert to the City of Paris. The City had planned to tear it down (part of the original contest rules for designing a tower was that it should be easy to dismantle) but as the tower proved to be valuable for communication purposes, it was allowed to remain after the expiry of the permit.
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Eiffel made use of his apartment at the top of the tower to carry out meteorological observations, and also used the tower to perform experiments on the action of air resistance on falling bodies.[30]
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For the 1900 Exposition Universelle, the lifts in the east and west legs were replaced by lifts running as far as the second level constructed by the French firm Fives-Lille. These had a compensating mechanism to keep the floor level as the angle of ascent changed at the first level, and were driven by a similar hydraulic mechanism to the Otis lifts, although this was situated at the base of the tower. Hydraulic pressure was provided by pressurised accumulators located near this mechanism.[23] At the same time the lift in the north pillar was removed and replaced by a staircase to the first level. The layout of both first and second levels was modified, with the space available for visitors on the second level. The original lift in the south pillar was removed 13 years later.
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On 19 October 1901, Alberto Santos-Dumont, flying his No.6 airship, won a 100,000-franc prize offered by Henri Deutsch de la Meurthe for the first person to make a flight from St. Cloud to the Eiffel Tower and back in less than half an hour.[31]
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Many innovations took place at the Eiffel Tower in the early 20th century. In 1910, Father Theodor Wulf measured radiant energy at the top and bottom of the tower. He found more at the top than expected, incidentally discovering what are known today as cosmic rays.[32] Just two years later, on 4 February 1912, Austrian tailor Franz Reichelt died after jumping from the first level of the tower (a height of 57 metres) to demonstrate his parachute design.[33] In 1914, at the outbreak of World War I, a radio transmitter located in the tower jammed German radio communications, seriously hindering their advance on Paris and contributing to the Allied victory at the First Battle of the Marne.[34] From 1925 to 1934, illuminated signs for Citroën adorned three of the tower's sides, making it the tallest advertising space in the world at the time.[35] In April 1935, the tower was used to make experimental low-resolution television transmissions, using a shortwave transmitter of 200 watts power. On 17 November, an improved 180-line transmitter was installed.[36]
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On two separate but related occasions in 1925, the con artist Victor Lustig "sold" the tower for scrap metal.[37] A year later, in February 1926, pilot Leon Collet was killed trying to fly under the tower. His aircraft became entangled in an aerial belonging to a wireless station.[38] A bust of Gustave Eiffel by Antoine Bourdelle was unveiled at the base of the north leg on 2 May 1929.[39] In 1930, the tower lost the title of the world's tallest structure when the Chrysler Building in New York City was completed.[40] In 1938, the decorative arcade around the first level was removed.[41]
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Upon the German occupation of Paris in 1940, the lift cables were cut by the French. The tower was closed to the public during the occupation and the lifts were not repaired until 1946.[42] In 1940, German soldiers had to climb the tower to hoist a swastika-centered Reichskriegsflagge,[43] but the flag was so large it blew away just a few hours later, and was replaced by a smaller one.[44] When visiting Paris, Hitler chose to stay on the ground. When the Allies were nearing Paris in August 1944, Hitler ordered General Dietrich von Choltitz, the military governor of Paris, to demolish the tower along with the rest of the city. Von Choltitz disobeyed the order.[45] On 25 June, before the Germans had been driven out of Paris, the German flag was replaced with a Tricolour by two men from the French Naval Museum, who narrowly beat three men led by Lucien Sarniguet, who had lowered the Tricolour on 13 June 1940 when Paris fell to the Germans.[42]
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A fire started in the television transmitter on 3 January 1956, damaging the top of the tower. Repairs took a year, and in 1957, the present radio aerial was added to the top.[46] In 1964, the Eiffel Tower was officially declared to be a historical monument by the Minister of Cultural Affairs, André Malraux.[47] A year later, an additional lift system was installed in the north pillar.[48]
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According to interviews, in 1967, Montreal Mayor Jean Drapeau negotiated a secret agreement with Charles de Gaulle for the tower to be dismantled and temporarily relocated to Montreal to serve as a landmark and tourist attraction during Expo 67. The plan was allegedly vetoed by the company operating the tower out of fear that the French government could refuse permission for the tower to be restored in its original location.[49]
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In 1982, the original lifts between the second and third levels were replaced after 97 years in service. These had been closed to the public between November and March because the water in the hydraulic drive tended to freeze. The new cars operate in pairs, with one counterbalancing the other, and perform the journey in one stage, reducing the journey time from eight minutes to less than two minutes. At the same time, two new emergency staircases were installed, replacing the original spiral staircases. In 1983, the south pillar was fitted with an electrically driven Otis lift to serve the Jules Verne restaurant.[citation needed] The Fives-Lille lifts in the east and west legs, fitted in 1899, were extensively refurbished in 1986. The cars were replaced, and a computer system was installed to completely automate the lifts. The motive power was moved from the water hydraulic system to a new electrically driven oil-filled hydraulic system, and the original water hydraulics were retained solely as a counterbalance system.[48] A service lift was added to the south pillar for moving small loads and maintenance personnel three years later.
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Robert Moriarty flew a Beechcraft Bonanza under the tower on 31 March 1984.[50] In 1987, A.J. Hackett made one of his first bungee jumps from the top of the Eiffel Tower, using a special cord he had helped develop. Hackett was arrested by the police.[51] On 27 October 1991, Thierry Devaux, along with mountain guide Hervé Calvayrac, performed a series of acrobatic figures while bungee jumping from the second floor of the tower. Facing the Champ de Mars, Devaux used an electric winch between figures to go back up to the second floor. When firemen arrived, he stopped after the sixth jump.[52]
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For its "Countdown to the Year 2000" celebration on 31 December 1999, flashing lights and high-powered searchlights were installed on the tower. During the last three minutes of the year, the lights will turn on starting from the base of the tower and continuing on until it gets to the top to welcome 2000 with a huge fireworks show. An exhibition above a cafeteria on the first floor commemorates this event. The searchlights on top of the tower made it a beacon in Paris's night sky, and 20,000 flashing bulbs gave the tower a sparkly appearance for five minutes every hour on the hour.[53]
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The lights sparkled blue for several nights to herald the new millennium on 31 December 2000. The sparkly lighting continued for 18 months until July 2001. The sparkling lights were turned on again on 21 June 2003, and the display was planned to last for 10 years before they needed replacing.[54]
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The tower received its 200,000,000th guest on 28 November 2002.[55] The tower has operated at its maximum capacity of about 7 million visitors since 2003.[56] In 2004, the Eiffel Tower began hosting a seasonal ice rink on the first level.[57] A glass floor was installed on the first level during the 2014 refurbishment.[58]
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The puddled iron (wrought iron) of the Eiffel Tower weighs 7,300 tons,[59] and the addition of lifts, shops and antennae have brought the total weight to approximately 10,100 tons.[60] As a demonstration of the economy of design, if the 7,300 tons of metal in the structure were melted down, it would fill the square base, 125 metres (410 ft) on each side, to a depth of only 6.25 cm (2.46 in) assuming the density of the metal to be 7.8 tons per cubic metre.[61] Additionally, a cubic box surrounding the tower (324 m x 125 m x 125 m) would contain 6,200 tons of air, weighing almost as much as the iron itself. Depending on the ambient temperature, the top of the tower may shift away from the sun by up to 18 cm (7 in) due to thermal expansion of the metal on the side facing the sun.[62]
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When it was built, many were shocked by the tower's daring form. Eiffel was accused of trying to create something artistic with no regard to the principles of engineering. However, Eiffel and his team – experienced bridge builders – understood the importance of wind forces, and knew that if they were going to build the tallest structure in the world, they had to be sure it could withstand them. In an interview with the newspaper Le Temps published on 14 February 1887, Eiffel said:
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Is it not true that the very conditions which give strength also conform to the hidden rules of harmony? … Now to what phenomenon did I have to give primary concern in designing the Tower? It was wind resistance. Well then! I hold that the curvature of the monument's four outer edges, which is as mathematical calculation dictated it should be … will give a great impression of strength and beauty, for it will reveal to the eyes of the observer the boldness of the design as a whole.[63]
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He used graphical methods to determine the strength of the tower and empirical evidence to account for the effects of wind, rather than a mathematical formula. Close examination of the tower reveals a basically exponential shape.[64] All parts of the tower were over-designed to ensure maximum resistance to wind forces. The top half was even assumed to have no gaps in the latticework.[65] In the years since it was completed, engineers have put forward various mathematical hypotheses in an attempt to explain the success of the design. The most recent, devised in 2004 after letters sent by Eiffel to the French Society of Civil Engineers in 1885 were translated into English, is described as a non-linear integral equation based on counteracting the wind pressure on any point of the tower with the tension between the construction elements at that point.[64]
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The Eiffel Tower sways by up to 9 centimetres (3.5 in) in the wind.[66]
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When originally built, the first level contained three restaurants — one French, one Russian and one Flemish — and an "Anglo-American Bar". After the exposition closed, the Flemish restaurant was converted to a 250-seat theatre. A promenade 2.6-metre (8 ft 6 in) wide ran around the outside of the first level. At the top, there were laboratories for various experiments, and a small apartment reserved for Gustave Eiffel to entertain guests, which is now open to the public, complete with period decorations and lifelike mannequins of Eiffel and some of his notable guests.[67]
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In May 2016, an apartment was created on the first level to accommodate four competition winners during the UEFA Euro 2016 football tournament in Paris in June. The apartment has a kitchen, two bedrooms, a lounge, and views of Paris landmarks including the Seine, the Sacre Coeur, and the Arc de Triomphe.[68]
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The arrangement of the lifts has been changed several times during the tower's history. Given the elasticity of the cables and the time taken to align the cars with the landings, each lift, in normal service, takes an average of 8 minutes and 50 seconds to do the round trip, spending an average of 1 minute and 15 seconds at each level. The average journey time between levels is 1 minute. The original hydraulic mechanism is on public display in a small museum at the base of the east and west legs. Because the mechanism requires frequent lubrication and maintenance, public access is often restricted. The rope mechanism of the north tower can be seen as visitors exit the lift.[citation needed]
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Gustave Eiffel engraved on the tower the names of 72 French scientists, engineers and mathematicians in recognition of their contributions to the building of the tower. Eiffel chose this "invocation of science" because of his concern over the artists' protest. At the beginning of the 20th century, the engravings were painted over, but they were restored in 1986–87 by the Société Nouvelle d'exploitation de la Tour Eiffel, a company operating the tower.[69]
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The tower is painted in three shades: lighter at the top, getting progressively darker towards the bottom to complement the Parisian sky.[70] It was originally reddish brown; this changed in 1968 to a bronze colour known as "Eiffel Tower Brown".[71]
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The only non-structural elements are the four decorative grill-work arches, added in Sauvestre's sketches, which served to make the tower look more substantial and to make a more impressive entrance to the exposition.[72]
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A pop-culture movie cliché is that the view from a Parisian window always includes the tower.[73] In reality, since zoning restrictions limit the height of most buildings in Paris to seven storeys, only a small number of tall buildings have a clear view of the tower.[citation needed]
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Maintenance of the tower includes applying 60 tons of paint every seven years to prevent it from rusting. The tower has been completely repainted at least 19 times since it was built. Lead paint was still being used as recently as 2001 when the practice was stopped out of concern for the environment.[54][74]
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The nearest Paris Métro station is Bir-Hakeim and the nearest RER station is Champ de Mars-Tour Eiffel.[75] The tower itself is located at the intersection of the quai Branly and the Pont d'Iéna.
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More than 250 million people have visited the tower since it was completed in 1889.[3] In 2015, there were 6.91 million visitors.[76] The tower is the most-visited paid monument in the world.[77] An average of 25,000 people ascend the tower every day which can result in long queues.[78]
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The tower has two restaurants: Le 58 Tour Eiffel on the first level, and Le Jules Verne, a gourmet restaurant with its own lift on the second level. This restaurant has one star in the Michelin Red Guide. It was run by the multi-Michelin star chef Alain Ducasse from 2007 to 2017.[79] Starting May 2019, it will be managed by three star chef Frédéric Anton.[80] It owes its name to the famous science-fiction writer Jules Verne. Additionally, there is a champagne bar at the top of the Eiffel Tower.
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From 1937 until 1981, there was a restaurant near the top of the tower. It was removed due to structural considerations; engineers had determined it was too heavy and was causing the tower to sag.[81] This restaurant was sold to an American restaurateur and transported to New York and then New Orleans. It was rebuilt on the edge of New Orleans' Garden District as a restaurant and later event hall.[82]
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As one of the most iconic landmarks in the world, the Eiffel Tower has been the inspiration for the creation of many replicas and similar towers. An early example is Blackpool Tower in England. The mayor of Blackpool, Sir John Bickerstaffe, was so impressed on seeing the Eiffel Tower at the 1889 exposition that he commissioned a similar tower to be built in his town. It opened in 1894 and is 158.1 metres (518 ft) tall.[83] Tokyo Tower in Japan, built as a communications tower in 1958, was also inspired by the Eiffel Tower.[84]
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There are various scale models of the tower in the United States, including a half-scale version at the Paris Las Vegas, Nevada, one in Paris, Texas built in 1993, and two 1:3 scale models at Kings Island, Ohio, and Kings Dominion, Virginia, amusement parks opened in 1972 and 1975 respectively. Two 1:3 scale models can be found in China, one in Durango, Mexico that was donated by the local French community, and several across Europe.[85]
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In 2011, the TV show Pricing the Priceless on the National Geographic Channel speculated that a full-size replica of the tower would cost approximately US$480 million to build.[86] This would be more than ten times the cost of the original (nearly 8 million in 1890 Francs; ~US$40 million in 2018 dollars).
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The tower has been used for making radio transmissions since the beginning of the 20th century. Until the 1950s, sets of aerial wires ran from the cupola to anchors on the Avenue de Suffren and Champ de Mars. These were connected to longwave transmitters in small bunkers. In 1909, a permanent underground radio centre was built near the south pillar, which still exists today. On 20 November 1913, the Paris Observatory, using the Eiffel Tower as an aerial, exchanged wireless signals with the United States Naval Observatory, which used an aerial in Arlington, Virginia. The object of the transmissions was to measure the difference in longitude between Paris and Washington, D.C.[87] Today, radio and digital television signals are transmitted from the Eiffel Tower.
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A television antenna was first installed on the tower in 1957, increasing its height by 18.7 m (61.4 ft). Work carried out in 2000 added a further 5.3 m (17.4 ft), giving the current height of 324 m (1,063 ft).[54] Analogue television signals from the Eiffel Tower ceased on 8 March 2011.
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The tower and its image have been in the public domain since 1993, 70 years after Eiffel's death.[88] In June 1990 a French court ruled that a special lighting display on the tower in 1989 to mark the tower's 100th anniversary was an "original visual creation" protected by copyright. The Court of Cassation, France's judicial court of last resort, upheld the ruling in March 1992.[89] The Société d'Exploitation de la Tour Eiffel (SETE) now considers any illumination of the tower to be a separate work of art that falls under copyright.[90] As a result, the SNTE alleges that it is illegal to publish contemporary photographs of the lit tower at night without permission in France and some other countries for commercial use.[91][92]
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The imposition of copyright has been controversial. The Director of Documentation for what was then called the Société Nouvelle d'exploitation de la Tour Eiffel (SNTE), Stéphane Dieu, commented in 2005: "It is really just a way to manage commercial use of the image, so that it isn't used in ways [of which] we don't approve".[93] SNTE made over €1 million from copyright fees in 2002.[94] However, it could also be used to restrict the publication of tourist photographs of the tower at night, as well as hindering non-profit and semi-commercial publication of images of the illuminated tower.[95]
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French doctrine and jurisprudence allows pictures incorporating a copyrighted work as long as their presence is incidental or accessory to the subject being represented,[96] a reasoning akin to the de minimis rule. Therefore, SETE may be unable to claim copyright on photographs of Paris which happen to include the lit tower.
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The Eiffel Tower was the world's tallest structure when completed in 1889, a distinction it retained until 1929 when the Chrysler Building in New York City was topped out.[97] The tower also lost its standing as the world's tallest tower to the Tokyo Tower in 1958 but retains its status as the tallest freestanding (non-guyed) structure in France.
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The Eiffel Tower (/ˈaɪfəl/ EYE-fəl; French: tour Eiffel [tuʁ‿ɛfɛl] (listen)) is a wrought-iron lattice tower on the Champ de Mars in Paris, France. It is named after the engineer Gustave Eiffel, whose company designed and built the tower.
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Constructed from 1887 to 1889 as the entrance to the 1889 World's Fair, it was initially criticised by some of France's leading artists and intellectuals for its design, but it has become a global cultural icon of France and one of the most recognisable structures in the world.[3] The Eiffel Tower is the most-visited paid monument in the world; 6.91 million people ascended it in 2015.
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The tower is 324 metres (1,063 ft) tall, about the same height as an 81-storey building, and the tallest structure in Paris. Its base is square, measuring 125 metres (410 ft) on each side. During its construction, the Eiffel Tower surpassed the Washington Monument to become the tallest man-made structure in the world, a title it held for 41 years until the Chrysler Building in New York City was finished in 1930. It was the first structure to reach a height of 300 metres. Due to the addition of a broadcasting aerial at the top of the tower in 1957, it is now taller than the Chrysler Building by 5.2 metres (17 ft). Excluding transmitters, the Eiffel Tower is the second tallest free-standing structure in France after the Millau Viaduct.
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The tower has three levels for visitors, with restaurants on the first and second levels. The top level's upper platform is 276 m (906 ft) above the ground – the highest observation deck accessible to the public in the European Union. Tickets can be purchased to ascend by stairs or lift to the first and second levels. The climb from ground level to the first level is over 300 steps, as is the climb from the first level to the second. Although there is a staircase to the top level, it is usually accessible only by lift.
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The design of the Eiffel Tower is attributed to Maurice Koechlin and Émile Nouguier, two senior engineers working for the Compagnie des Établissements Eiffel. It was envisioned after discussion about a suitable centrepiece for the proposed 1889 Exposition Universelle, a world's fair to celebrate the centennial of the French Revolution. Eiffel openly acknowledged that inspiration for a tower came from the Latting Observatory built in New York City in 1853.[4] In May 1884, working at home, Koechlin made a sketch of their idea, described by him as "a great pylon, consisting of four lattice girders standing apart at the base and coming together at the top, joined together by metal trusses at regular intervals".[5] Eiffel initially showed little enthusiasm, but he did approve further study, and the two engineers then asked Stephen Sauvestre, the head of company's architectural department, to contribute to the design. Sauvestre added decorative arches to the base of the tower, a glass pavilion to the first level, and other embellishments.
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The new version gained Eiffel's support: he bought the rights to the patent on the design which Koechlin, Nougier, and Sauvestre had taken out, and the design was exhibited at the Exhibition of Decorative Arts in the autumn of 1884 under the company name. On 30 March 1885, Eiffel presented his plans to the Société des Ingénieurs Civils; after discussing the technical problems and emphasising the practical uses of the tower, he finished his talk by saying the tower would symbolise:
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[n]ot only the art of the modern engineer, but also the century of Industrand Science in which we are living, and for which the way was prepared by the great scientific movement of the eighteenth century and by the Revolution of 1789, to which this monument will be built as an expression of France's gratitude.[6]
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Little progress was made until 1886, when Jules Grévy was re-elected as president of France and Édouard Lockroy was appointed as minister for trade. A budget for the exposition was passed and, on 1 May, Lockroy announced an alteration to the terms of the open competition being held for a centrepiece to the exposition, which effectively made the selection of Eiffel's design a foregone conclusion, as entries had to include a study for a 300 m (980 ft) four-sided metal tower on the Champ de Mars.[6] (A 300-meter tower was then considered a herculean engineering effort). On 12 May, a commission was set up to examine Eiffel's scheme and its rivals, which, a month later, decided that all the proposals except Eiffel's were either impractical or lacking in details.
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After some debate about the exact location of the tower, a contract was signed on 8 January 1887. This was signed by Eiffel acting in his own capacity rather than as the representative of his company, and granted him 1.5 million francs toward the construction costs: less than a quarter of the estimated 6.5 million francs. Eiffel was to receive all income from the commercial exploitation of the tower during the exhibition and for the next 20 years. He later established a separate company to manage the tower, putting up half the necessary capital himself.[7]
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The proposed tower had been a subject of controversy, drawing criticism from those who did not believe it was feasible and those who objected on artistic grounds. Prior to the Eiffel Tower's construction, no structure had ever been constructed to a height of at least 300 metres, and many people believed it impossible. These objections were an expression of a long-standing debate in France about the relationship between architecture and engineering. It came to a head as work began at the Champ de Mars: a "Committee of Three Hundred" (one member for each metre of the tower's height) was formed, led by the prominent architect Charles Garnier and including some of the most important figures of the arts, such as William-Adolphe Bouguereau, Guy de Maupassant, Charles Gounod and Jules Massenet. A petition called "Artists against the Eiffel Tower" was sent to the Minister of Works and Commissioner for the Exposition, Adolphe Alphand, and it was published by Le Temps on 14 February 1887:
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We, writers, painters, sculptors, architects and passionate devotees of the hitherto untouched beauty of Paris, protest with all our strength, with all our indignation in the name of slighted French taste, against the erection … of this useless and monstrous Eiffel Tower … To bring our arguments home, imagine for a moment a giddy, ridiculous tower dominating Paris like a gigantic black smokestack, crushing under its barbaric bulk Notre Dame, the Tour Saint-Jacques, the Louvre, the Dome of les Invalides, the Arc de Triomphe, all of our humiliated monuments will disappear in this ghastly dream. And for twenty years … we shall see stretching like a blot of ink the hateful shadow of the hateful column of bolted sheet metal.[8]
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Gustave Eiffel responded to these criticisms by comparing his tower to the Egyptian pyramids: "My tower will be the tallest edifice ever erected by man. Will it not also be grandiose in its way? And why would something admirable in Egypt become hideous and ridiculous in Paris?"[9] These criticisms were also dealt with by Édouard Lockroy in a letter of support written to Alphand, sardonically saying,[10] "Judging by the stately swell of the rhythms, the beauty of the metaphors, the elegance of its delicate and precise style, one can tell this protest is the result of collaboration of the most famous writers and poets of our time", and he explained that the protest was irrelevant since the project had been decided upon months before, and construction on the tower was already under way.
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Indeed, Garnier was a member of the Tower Commission that had examined the various proposals, and had raised no objection. Eiffel was similarly unworried, pointing out to a journalist that it was premature to judge the effect of the tower solely on the basis of the drawings, that the Champ de Mars was distant enough from the monuments mentioned in the protest for there to be little risk of the tower overwhelming them, and putting the aesthetic argument for the tower: "Do not the laws of natural forces always conform to the secret laws of harmony?"[11]
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Some of the protesters changed their minds when the tower was built; others remained unconvinced.[12] Guy de Maupassant supposedly ate lunch in the tower's restaurant every day because it was the one place in Paris where the tower was not visible.[13]
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By 1918, it had become a symbol of Paris and of France after Guillaume Apollinaire wrote a nationalist poem in the shape of the tower (a calligram) to express his feelings about the war against Germany.[14] Today, it is widely considered to be a remarkable piece of structural art, and is often featured in films and literature.
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Work on the foundations started on 28 January 1887.[15] Those for the east and south legs were straightforward, with each leg resting on four 2 m (6.6 ft) concrete slabs, one for each of the principal girders of each leg. The west and north legs, being closer to the river Seine, were more complicated: each slab needed two piles installed by using compressed-air caissons 15 m (49 ft) long and 6 m (20 ft) in diameter driven to a depth of 22 m (72 ft)[16] to support the concrete slabs, which were 6 m (20 ft) thick. Each of these slabs supported a block of limestone with an inclined top to bear a supporting shoe for the ironwork.
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Each shoe was anchored to the stonework by a pair of bolts 10 cm (4 in) in diameter and 7.5 m (25 ft) long. The foundations were completed on 30 June, and the erection of the ironwork began. The visible work on-site was complemented by the enormous amount of exacting preparatory work that took place behind the scenes: the drawing office produced 1,700 general drawings and 3,629 detailed drawings of the 18,038 different parts needed.[17] The task of drawing the components was complicated by the complex angles involved in the design and the degree of precision required: the position of rivet holes was specified to within 1 mm (0.04 in) and angles worked out to one second of arc.[18] The finished components, some already riveted together into sub-assemblies, arrived on horse-drawn carts from a factory in the nearby Parisian suburb of Levallois-Perret and were first bolted together, with the bolts being replaced with rivets as construction progressed. No drilling or shaping was done on site: if any part did not fit, it was sent back to the factory for alteration. In all, 18,038 pieces were joined together using 2.5 million rivets.[15]
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At first, the legs were constructed as cantilevers, but about halfway to the first level construction was paused in order to create a substantial timber scaffold. This renewed concerns about the structural integrity of the tower, and sensational headlines such as "Eiffel Suicide!" and "Gustave Eiffel Has Gone Mad: He Has Been Confined in an Asylum" appeared in the tabloid press.[19] At this stage, a small "creeper" crane designed to move up the tower was installed in each leg. They made use of the guides for the lifts which were to be fitted in the four legs. The critical stage of joining the legs at the first level was completed by the end of March 1888.[15] Although the metalwork had been prepared with the utmost attention to detail, provision had been made to carry out small adjustments in order to precisely align the legs; hydraulic jacks were fitted to the shoes at the base of each leg, capable of exerting a force of 800 tonnes, and the legs were intentionally constructed at a slightly steeper angle than necessary, being supported by sandboxes on the scaffold. Although construction involved 300 on-site employees,[15] only one person died, due to Eiffel's safety precautions and the use of movable gangways, guardrails and screens.[20]
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The start of the erection of the metalwork
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7 December 1887: Construction of the legs with scaffolding
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20 March 1888: Completion of the first level
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15 May 1888: Start of construction on the second stage
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21 August 1888: Completion of the second level
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26 December 1888: Construction of the upper stage
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15 March 1889: Construction of the cupola
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Equipping the tower with adequate and safe passenger lifts was a major concern of the government commission overseeing the Exposition. Although some visitors could be expected to climb to the first level, or even the second, lifts clearly had to be the main means of ascent.[21]
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Constructing lifts to reach the first level was relatively straightforward: the legs were wide enough at the bottom and so nearly straight that they could contain a straight track, and a contract was given to the French company Roux, Combaluzier & Lepape for two lifts to be fitted in the east and west legs.[22] Roux, Combaluzier & Lepape used a pair of endless chains with rigid, articulated links to which the car was attached. Lead weights on some links of the upper or return sections of the chains counterbalanced most of the car's weight. The car was pushed up from below, not pulled up from above: to prevent the chain buckling, it was enclosed in a conduit. At the bottom of the run, the chains passed around 3.9 m (12 ft 10 in) diameter sprockets. Smaller sprockets at the top guided the chains.[22]
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Installing lifts to the second level was more of a challenge because a straight track was impossible. No French company wanted to undertake the work. The European branch of Otis Brothers & Company submitted a proposal but this was rejected: the fair's charter ruled out the use of any foreign material in the construction of the tower. The deadline for bids was extended but still no French companies put themselves forward, and eventually the contract was given to Otis in July 1887.[23] Otis were confident they would eventually be given the contract and had already started creating designs.
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The car was divided into two superimposed compartments, each holding 25 passengers, with the lift operator occupying an exterior platform on the first level. Motive power was provided by an inclined hydraulic ram 12.67 m (41 ft 7 in) long and 96.5 cm (38.0 in) in diameter in the tower leg with a stroke of 10.83 m (35 ft 6 in): this moved a carriage carrying six sheaves. Five fixed sheaves were mounted higher up the leg, producing an arrangement similar to a block and tackle but acting in reverse, multiplying the stroke of the piston rather than the force generated. The hydraulic pressure in the driving cylinder was produced by a large open reservoir on the second level. After being exhausted from the cylinder, the water was pumped back up to the reservoir by two pumps in the machinery room at the base of the south leg. This reservoir also provided power to the lifts to the first level.
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The original lifts for the journey between the second and third levels were supplied by Léon Edoux. A pair of 81 m (266 ft) hydraulic rams were mounted on the second level, reaching nearly halfway up to the third level. One lift car was mounted on top of these rams: cables ran from the top of this car up to sheaves on the third level and back down to a second car. Each car only travelled half the distance between the second and third levels and passengers were required to change lifts halfway by means of a short gangway. The 10-ton cars each held 65 passengers.[24]
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The main structural work was completed at the end of March 1889 and, on 31 March, Eiffel celebrated by leading a group of government officials, accompanied by representatives of the press, to the top of the tower.[12] Because the lifts were not yet in operation, the ascent was made by foot, and took over an hour, with Eiffel stopping frequently to explain various features. Most of the party chose to stop at the lower levels, but a few, including the structural engineer, Émile Nouguier, the head of construction, Jean Compagnon, the President of the City Council, and reporters from Le Figaro and Le Monde Illustré, completed the ascent. At 2:35 pm, Eiffel hoisted a large Tricolour to the accompaniment of a 25-gun salute fired at the first level.[25]
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There was still work to be done, particularly on the lifts and facilities, and the tower was not opened to the public until nine days after the opening of the exposition on 6 May; even then, the lifts had not been completed. The tower was an instant success with the public, and nearly 30,000 visitors made the 1,710-step climb to the top before the lifts entered service on 26 May.[26]
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Tickets cost 2 francs for the first level, 3 for the second, and 5 for the top, with half-price admission on Sundays,[27] and by the end of the exhibition there had been 1,896,987 visitors.[3]
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After dark, the tower was lit by hundreds of gas lamps, and a beacon sent out three beams of red, white and blue light. Two searchlights mounted on a circular rail were used to illuminate various buildings of the exposition. The daily opening and closing of the exposition were announced by a cannon at the top.
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On the second level, the French newspaper Le Figaro had an office and a printing press, where a special souvenir edition, Le Figaro de la Tour, was made. There was also a pâtisserie.
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At the top, there was a post office where visitors could send letters and postcards as a memento of their visit. Graffitists were also catered for: sheets of paper were mounted on the walls each day for visitors to record their impressions of the tower. Gustave Eiffel described some of the responses as vraiment curieuse ("truly curious").[28]
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Famous visitors to the tower included the Prince of Wales, Sarah Bernhardt, "Buffalo Bill" Cody (his Wild West show was an attraction at the exposition) and Thomas Edison.[26] Eiffel invited Edison to his private apartment at the top of the tower, where Edison presented him with one of his phonographs, a new invention and one of the many highlights of the exposition.[29] Edison signed the guestbook with this message:
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To M Eiffel the Engineer the brave builder of so gigantic and original specimen of modern Engineering from one who has the greatest respect and admiration for all Engineers including the Great Engineer the Bon Dieu, Thomas Edison.
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Eiffel had a permit for the tower to stand for 20 years. It was to be dismantled in 1909, when its ownership would revert to the City of Paris. The City had planned to tear it down (part of the original contest rules for designing a tower was that it should be easy to dismantle) but as the tower proved to be valuable for communication purposes, it was allowed to remain after the expiry of the permit.
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Eiffel made use of his apartment at the top of the tower to carry out meteorological observations, and also used the tower to perform experiments on the action of air resistance on falling bodies.[30]
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For the 1900 Exposition Universelle, the lifts in the east and west legs were replaced by lifts running as far as the second level constructed by the French firm Fives-Lille. These had a compensating mechanism to keep the floor level as the angle of ascent changed at the first level, and were driven by a similar hydraulic mechanism to the Otis lifts, although this was situated at the base of the tower. Hydraulic pressure was provided by pressurised accumulators located near this mechanism.[23] At the same time the lift in the north pillar was removed and replaced by a staircase to the first level. The layout of both first and second levels was modified, with the space available for visitors on the second level. The original lift in the south pillar was removed 13 years later.
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On 19 October 1901, Alberto Santos-Dumont, flying his No.6 airship, won a 100,000-franc prize offered by Henri Deutsch de la Meurthe for the first person to make a flight from St. Cloud to the Eiffel Tower and back in less than half an hour.[31]
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Many innovations took place at the Eiffel Tower in the early 20th century. In 1910, Father Theodor Wulf measured radiant energy at the top and bottom of the tower. He found more at the top than expected, incidentally discovering what are known today as cosmic rays.[32] Just two years later, on 4 February 1912, Austrian tailor Franz Reichelt died after jumping from the first level of the tower (a height of 57 metres) to demonstrate his parachute design.[33] In 1914, at the outbreak of World War I, a radio transmitter located in the tower jammed German radio communications, seriously hindering their advance on Paris and contributing to the Allied victory at the First Battle of the Marne.[34] From 1925 to 1934, illuminated signs for Citroën adorned three of the tower's sides, making it the tallest advertising space in the world at the time.[35] In April 1935, the tower was used to make experimental low-resolution television transmissions, using a shortwave transmitter of 200 watts power. On 17 November, an improved 180-line transmitter was installed.[36]
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On two separate but related occasions in 1925, the con artist Victor Lustig "sold" the tower for scrap metal.[37] A year later, in February 1926, pilot Leon Collet was killed trying to fly under the tower. His aircraft became entangled in an aerial belonging to a wireless station.[38] A bust of Gustave Eiffel by Antoine Bourdelle was unveiled at the base of the north leg on 2 May 1929.[39] In 1930, the tower lost the title of the world's tallest structure when the Chrysler Building in New York City was completed.[40] In 1938, the decorative arcade around the first level was removed.[41]
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Upon the German occupation of Paris in 1940, the lift cables were cut by the French. The tower was closed to the public during the occupation and the lifts were not repaired until 1946.[42] In 1940, German soldiers had to climb the tower to hoist a swastika-centered Reichskriegsflagge,[43] but the flag was so large it blew away just a few hours later, and was replaced by a smaller one.[44] When visiting Paris, Hitler chose to stay on the ground. When the Allies were nearing Paris in August 1944, Hitler ordered General Dietrich von Choltitz, the military governor of Paris, to demolish the tower along with the rest of the city. Von Choltitz disobeyed the order.[45] On 25 June, before the Germans had been driven out of Paris, the German flag was replaced with a Tricolour by two men from the French Naval Museum, who narrowly beat three men led by Lucien Sarniguet, who had lowered the Tricolour on 13 June 1940 when Paris fell to the Germans.[42]
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A fire started in the television transmitter on 3 January 1956, damaging the top of the tower. Repairs took a year, and in 1957, the present radio aerial was added to the top.[46] In 1964, the Eiffel Tower was officially declared to be a historical monument by the Minister of Cultural Affairs, André Malraux.[47] A year later, an additional lift system was installed in the north pillar.[48]
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According to interviews, in 1967, Montreal Mayor Jean Drapeau negotiated a secret agreement with Charles de Gaulle for the tower to be dismantled and temporarily relocated to Montreal to serve as a landmark and tourist attraction during Expo 67. The plan was allegedly vetoed by the company operating the tower out of fear that the French government could refuse permission for the tower to be restored in its original location.[49]
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In 1982, the original lifts between the second and third levels were replaced after 97 years in service. These had been closed to the public between November and March because the water in the hydraulic drive tended to freeze. The new cars operate in pairs, with one counterbalancing the other, and perform the journey in one stage, reducing the journey time from eight minutes to less than two minutes. At the same time, two new emergency staircases were installed, replacing the original spiral staircases. In 1983, the south pillar was fitted with an electrically driven Otis lift to serve the Jules Verne restaurant.[citation needed] The Fives-Lille lifts in the east and west legs, fitted in 1899, were extensively refurbished in 1986. The cars were replaced, and a computer system was installed to completely automate the lifts. The motive power was moved from the water hydraulic system to a new electrically driven oil-filled hydraulic system, and the original water hydraulics were retained solely as a counterbalance system.[48] A service lift was added to the south pillar for moving small loads and maintenance personnel three years later.
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Robert Moriarty flew a Beechcraft Bonanza under the tower on 31 March 1984.[50] In 1987, A.J. Hackett made one of his first bungee jumps from the top of the Eiffel Tower, using a special cord he had helped develop. Hackett was arrested by the police.[51] On 27 October 1991, Thierry Devaux, along with mountain guide Hervé Calvayrac, performed a series of acrobatic figures while bungee jumping from the second floor of the tower. Facing the Champ de Mars, Devaux used an electric winch between figures to go back up to the second floor. When firemen arrived, he stopped after the sixth jump.[52]
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For its "Countdown to the Year 2000" celebration on 31 December 1999, flashing lights and high-powered searchlights were installed on the tower. During the last three minutes of the year, the lights will turn on starting from the base of the tower and continuing on until it gets to the top to welcome 2000 with a huge fireworks show. An exhibition above a cafeteria on the first floor commemorates this event. The searchlights on top of the tower made it a beacon in Paris's night sky, and 20,000 flashing bulbs gave the tower a sparkly appearance for five minutes every hour on the hour.[53]
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The lights sparkled blue for several nights to herald the new millennium on 31 December 2000. The sparkly lighting continued for 18 months until July 2001. The sparkling lights were turned on again on 21 June 2003, and the display was planned to last for 10 years before they needed replacing.[54]
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The tower received its 200,000,000th guest on 28 November 2002.[55] The tower has operated at its maximum capacity of about 7 million visitors since 2003.[56] In 2004, the Eiffel Tower began hosting a seasonal ice rink on the first level.[57] A glass floor was installed on the first level during the 2014 refurbishment.[58]
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The puddled iron (wrought iron) of the Eiffel Tower weighs 7,300 tons,[59] and the addition of lifts, shops and antennae have brought the total weight to approximately 10,100 tons.[60] As a demonstration of the economy of design, if the 7,300 tons of metal in the structure were melted down, it would fill the square base, 125 metres (410 ft) on each side, to a depth of only 6.25 cm (2.46 in) assuming the density of the metal to be 7.8 tons per cubic metre.[61] Additionally, a cubic box surrounding the tower (324 m x 125 m x 125 m) would contain 6,200 tons of air, weighing almost as much as the iron itself. Depending on the ambient temperature, the top of the tower may shift away from the sun by up to 18 cm (7 in) due to thermal expansion of the metal on the side facing the sun.[62]
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When it was built, many were shocked by the tower's daring form. Eiffel was accused of trying to create something artistic with no regard to the principles of engineering. However, Eiffel and his team – experienced bridge builders – understood the importance of wind forces, and knew that if they were going to build the tallest structure in the world, they had to be sure it could withstand them. In an interview with the newspaper Le Temps published on 14 February 1887, Eiffel said:
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Is it not true that the very conditions which give strength also conform to the hidden rules of harmony? … Now to what phenomenon did I have to give primary concern in designing the Tower? It was wind resistance. Well then! I hold that the curvature of the monument's four outer edges, which is as mathematical calculation dictated it should be … will give a great impression of strength and beauty, for it will reveal to the eyes of the observer the boldness of the design as a whole.[63]
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He used graphical methods to determine the strength of the tower and empirical evidence to account for the effects of wind, rather than a mathematical formula. Close examination of the tower reveals a basically exponential shape.[64] All parts of the tower were over-designed to ensure maximum resistance to wind forces. The top half was even assumed to have no gaps in the latticework.[65] In the years since it was completed, engineers have put forward various mathematical hypotheses in an attempt to explain the success of the design. The most recent, devised in 2004 after letters sent by Eiffel to the French Society of Civil Engineers in 1885 were translated into English, is described as a non-linear integral equation based on counteracting the wind pressure on any point of the tower with the tension between the construction elements at that point.[64]
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The Eiffel Tower sways by up to 9 centimetres (3.5 in) in the wind.[66]
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When originally built, the first level contained three restaurants — one French, one Russian and one Flemish — and an "Anglo-American Bar". After the exposition closed, the Flemish restaurant was converted to a 250-seat theatre. A promenade 2.6-metre (8 ft 6 in) wide ran around the outside of the first level. At the top, there were laboratories for various experiments, and a small apartment reserved for Gustave Eiffel to entertain guests, which is now open to the public, complete with period decorations and lifelike mannequins of Eiffel and some of his notable guests.[67]
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In May 2016, an apartment was created on the first level to accommodate four competition winners during the UEFA Euro 2016 football tournament in Paris in June. The apartment has a kitchen, two bedrooms, a lounge, and views of Paris landmarks including the Seine, the Sacre Coeur, and the Arc de Triomphe.[68]
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The arrangement of the lifts has been changed several times during the tower's history. Given the elasticity of the cables and the time taken to align the cars with the landings, each lift, in normal service, takes an average of 8 minutes and 50 seconds to do the round trip, spending an average of 1 minute and 15 seconds at each level. The average journey time between levels is 1 minute. The original hydraulic mechanism is on public display in a small museum at the base of the east and west legs. Because the mechanism requires frequent lubrication and maintenance, public access is often restricted. The rope mechanism of the north tower can be seen as visitors exit the lift.[citation needed]
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Gustave Eiffel engraved on the tower the names of 72 French scientists, engineers and mathematicians in recognition of their contributions to the building of the tower. Eiffel chose this "invocation of science" because of his concern over the artists' protest. At the beginning of the 20th century, the engravings were painted over, but they were restored in 1986–87 by the Société Nouvelle d'exploitation de la Tour Eiffel, a company operating the tower.[69]
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The tower is painted in three shades: lighter at the top, getting progressively darker towards the bottom to complement the Parisian sky.[70] It was originally reddish brown; this changed in 1968 to a bronze colour known as "Eiffel Tower Brown".[71]
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The only non-structural elements are the four decorative grill-work arches, added in Sauvestre's sketches, which served to make the tower look more substantial and to make a more impressive entrance to the exposition.[72]
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A pop-culture movie cliché is that the view from a Parisian window always includes the tower.[73] In reality, since zoning restrictions limit the height of most buildings in Paris to seven storeys, only a small number of tall buildings have a clear view of the tower.[citation needed]
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Maintenance of the tower includes applying 60 tons of paint every seven years to prevent it from rusting. The tower has been completely repainted at least 19 times since it was built. Lead paint was still being used as recently as 2001 when the practice was stopped out of concern for the environment.[54][74]
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The nearest Paris Métro station is Bir-Hakeim and the nearest RER station is Champ de Mars-Tour Eiffel.[75] The tower itself is located at the intersection of the quai Branly and the Pont d'Iéna.
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More than 250 million people have visited the tower since it was completed in 1889.[3] In 2015, there were 6.91 million visitors.[76] The tower is the most-visited paid monument in the world.[77] An average of 25,000 people ascend the tower every day which can result in long queues.[78]
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The tower has two restaurants: Le 58 Tour Eiffel on the first level, and Le Jules Verne, a gourmet restaurant with its own lift on the second level. This restaurant has one star in the Michelin Red Guide. It was run by the multi-Michelin star chef Alain Ducasse from 2007 to 2017.[79] Starting May 2019, it will be managed by three star chef Frédéric Anton.[80] It owes its name to the famous science-fiction writer Jules Verne. Additionally, there is a champagne bar at the top of the Eiffel Tower.
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From 1937 until 1981, there was a restaurant near the top of the tower. It was removed due to structural considerations; engineers had determined it was too heavy and was causing the tower to sag.[81] This restaurant was sold to an American restaurateur and transported to New York and then New Orleans. It was rebuilt on the edge of New Orleans' Garden District as a restaurant and later event hall.[82]
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As one of the most iconic landmarks in the world, the Eiffel Tower has been the inspiration for the creation of many replicas and similar towers. An early example is Blackpool Tower in England. The mayor of Blackpool, Sir John Bickerstaffe, was so impressed on seeing the Eiffel Tower at the 1889 exposition that he commissioned a similar tower to be built in his town. It opened in 1894 and is 158.1 metres (518 ft) tall.[83] Tokyo Tower in Japan, built as a communications tower in 1958, was also inspired by the Eiffel Tower.[84]
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There are various scale models of the tower in the United States, including a half-scale version at the Paris Las Vegas, Nevada, one in Paris, Texas built in 1993, and two 1:3 scale models at Kings Island, Ohio, and Kings Dominion, Virginia, amusement parks opened in 1972 and 1975 respectively. Two 1:3 scale models can be found in China, one in Durango, Mexico that was donated by the local French community, and several across Europe.[85]
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In 2011, the TV show Pricing the Priceless on the National Geographic Channel speculated that a full-size replica of the tower would cost approximately US$480 million to build.[86] This would be more than ten times the cost of the original (nearly 8 million in 1890 Francs; ~US$40 million in 2018 dollars).
|
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|
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The tower has been used for making radio transmissions since the beginning of the 20th century. Until the 1950s, sets of aerial wires ran from the cupola to anchors on the Avenue de Suffren and Champ de Mars. These were connected to longwave transmitters in small bunkers. In 1909, a permanent underground radio centre was built near the south pillar, which still exists today. On 20 November 1913, the Paris Observatory, using the Eiffel Tower as an aerial, exchanged wireless signals with the United States Naval Observatory, which used an aerial in Arlington, Virginia. The object of the transmissions was to measure the difference in longitude between Paris and Washington, D.C.[87] Today, radio and digital television signals are transmitted from the Eiffel Tower.
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|
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A television antenna was first installed on the tower in 1957, increasing its height by 18.7 m (61.4 ft). Work carried out in 2000 added a further 5.3 m (17.4 ft), giving the current height of 324 m (1,063 ft).[54] Analogue television signals from the Eiffel Tower ceased on 8 March 2011.
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|
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The tower and its image have been in the public domain since 1993, 70 years after Eiffel's death.[88] In June 1990 a French court ruled that a special lighting display on the tower in 1989 to mark the tower's 100th anniversary was an "original visual creation" protected by copyright. The Court of Cassation, France's judicial court of last resort, upheld the ruling in March 1992.[89] The Société d'Exploitation de la Tour Eiffel (SETE) now considers any illumination of the tower to be a separate work of art that falls under copyright.[90] As a result, the SNTE alleges that it is illegal to publish contemporary photographs of the lit tower at night without permission in France and some other countries for commercial use.[91][92]
|
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|
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+
The imposition of copyright has been controversial. The Director of Documentation for what was then called the Société Nouvelle d'exploitation de la Tour Eiffel (SNTE), Stéphane Dieu, commented in 2005: "It is really just a way to manage commercial use of the image, so that it isn't used in ways [of which] we don't approve".[93] SNTE made over €1 million from copyright fees in 2002.[94] However, it could also be used to restrict the publication of tourist photographs of the tower at night, as well as hindering non-profit and semi-commercial publication of images of the illuminated tower.[95]
|
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+
|
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+
French doctrine and jurisprudence allows pictures incorporating a copyrighted work as long as their presence is incidental or accessory to the subject being represented,[96] a reasoning akin to the de minimis rule. Therefore, SETE may be unable to claim copyright on photographs of Paris which happen to include the lit tower.
|
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+
|
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+
The Eiffel Tower was the world's tallest structure when completed in 1889, a distinction it retained until 1929 when the Chrysler Building in New York City was topped out.[97] The tower also lost its standing as the world's tallest tower to the Tokyo Tower in 1958 but retains its status as the tallest freestanding (non-guyed) structure in France.
|
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1 |
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Harpalium (Cass.) Cass.
|
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|
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+
Helianthus (/ˌhiːliˈænθəs/)[3] is a genus of plants comprising about 70 species.[4][5] Except for three species in South America, all Helianthus species are native to North America and Central America. The common names "sunflower" and "common sunflower" typically refer to the popular annual species Helianthus annuus, whose round flower heads in combination with the ligules look like the sun.[6] This and other species, notably Jerusalem artichoke (H. tuberosus), are cultivated in temperate regions and some tropical regions as food crops for humans, cattle, and poultry, and as ornamental plants.[7] The species H. annuus typically grows during the summer and into early fall, with the peak growth season being mid-summer.[8]
|
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|
7 |
+
Perennial sunflower species are not as common in garden use due to their tendency to spread rapidly and become invasive. The whorled sunflower, Helianthus verticillatus, was listed as an endangered species in 2014 when the U.S. Fish and Wildlife Service issued a final rule protecting it under the Endangered Species Act. The primary threats are industrial forestry and pine plantations in Alabama, Georgia, and Tennessee. They grow to 1.8 m (6 ft) and are primarily found in woodlands, adjacent to creeks and moist, prairie-like areas.[9]
|
8 |
+
|
9 |
+
Sunflowers originate in the Americas. They were first domesticated in what is now Mexico and the Southern United States.[10][11] Domestic sunflower seeds have been found in Mexico, dating to 2100 BC. Native American people grew sunflowers as a crop from Mexico to Southern Canada.[11] In the 16th century the first crop breeds were brought from America to Europe by explorers.[11]
|
10 |
+
|
11 |
+
Sunflowers are usually tall annual or perennial plants that in some species can grow to a height of 300 cm (120 in) or more. They bear one or more wide, terminal capitula (flower heads), with bright yellow ray florets at the outside and yellow or maroon (also known as a brown/red) disc florets inside. Several ornamental cultivars of H. annuus have red-colored ray florets; all of them stem from a single original mutant.[12] During growth, sunflowers tilt during the day to face the sun but stop once they begin blooming. This tracking of the sun in young sunflower heads is called heliotropism. By the time they are mature, sunflowers generally face east.[13] The movement of sunflowers through heliotropism happens as the sunflower follows the sun, the opposite side of the sunflower stem begins to accumulate growth hormones and this causes growth which redirects the sunflower.[14] The rough and hairy stem is branched in the upper part in wild plants but is usually unbranched in domesticated cultivars.
|
12 |
+
|
13 |
+
The petiolate leaves are dentate and often sticky. The lower leaves are opposite, ovate, or often heart-shaped.
|
14 |
+
They are distinguished technically by the fact that the ray florets (when present) are sterile, and by the presence on the disk flowers of a pappus that is of two awn-like scales that are caducous (that is, easily detached and falling at maturity). Some species also have additional shorter scales in the pappus, and one species lacks a pappus entirely. Another technical feature that distinguishes the genus more reliably, but requires a microscope to see, is the presence of a prominent, multicellular appendage at the apex of the style. Further, the florets of a sunflower are arranged in a natural spiral.[15]
|
15 |
+
|
16 |
+
Variability is seen among the perennial species that make up the bulk of those in the genus. Some have most or all of the large leaves in a rosette at the base of the plant and produce a flowering stem that has leaves that are reduced in size. Most of the perennials have disk flowers that are entirely yellow, but a few have disk flowers with reddish lobes. One species, H. radula, lacks ray flowers altogether.
|
17 |
+
|
18 |
+
Helianthus species are used as food plants by the larvae of many lepidopterans. The seeds of H. annuus are used as human food.
|
19 |
+
|
20 |
+
The growth of a sunflower depends strictly on its genetic makeup and background.[16] Additionally, the season it is planted will have effects on its development. Sunflower development is classified by a series of vegetative stages and reproductive stages that can be determined by identifying the heads or main branch of a single head or branched head.[16]
|
21 |
+
|
22 |
+
The Journal of Environmental Management has analyzed the impact of various nitrogen-based fertilizers on the growth of sunflowers. Ammonium nitrate was found to produce better nitrogen absorption than urea, which performed better in low-temperature areas.[17]
|
23 |
+
|
24 |
+
In Brazil, a unique system of production called the soybean-sunflower system is used: sunflowers are planted first, and then soybean crops follow, reducing idle periods and increasing total sunflower production and profitability. Sunflowers are usually planted in the extreme southern or northern regions of the country. Frequently, in the southern regions, sunflowers are grown in the beginning of rainy seasons, and soybeans can then be planted in the summer.[18] Researchers have concluded that the soybean-sunflower method of plantation could be further improved through changes in fertilizer use. The current method has been shown to have positive environmental impacts.[19]
|
25 |
+
|
26 |
+
There are many species recognized in the genus:[21][22]
|
27 |
+
|
28 |
+
The following species were previously included in the genus Helianthus.[21]
|
29 |
+
|
30 |
+
Helianthus decapetalus"Plenus"
|
31 |
+
|
32 |
+
Sunflower leaf structure
|
33 |
+
|
34 |
+
Prairie sunflower(H. petiolaris)
|
35 |
+
|
36 |
+
Giant sunflower(H. giganteus)
|
37 |
+
|
38 |
+
Red sunflower
|
39 |
+
|
40 |
+
Helianthus'Strawberry Blonde'
|
41 |
+
|
42 |
+
Willowleaf sunflower(H. salicifolius)
|
43 |
+
|
44 |
+
Sunflower bud
|
45 |
+
|
46 |
+
Jerusalem artichoke(H. tuberosus)
|
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+
|
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+
Leaves of sunflower plant
|
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+
|
50 |
+
Rear view of sunflower head
|
51 |
+
|
52 |
+
H. annuus
|
53 |
+
|
54 |
+
H. laetiflorus
|
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+
|
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+
Close-up of a sunflower
|
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1 |
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2 |
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3 |
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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.
|
4 |
+
|
5 |
+
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]
|
6 |
+
|
7 |
+
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]
|
8 |
+
|
9 |
+
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.
|
10 |
+
|
11 |
+
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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+
|
13 |
+
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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+
|
15 |
+
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]
|
16 |
+
|
17 |
+
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]
|
18 |
+
|
19 |
+
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]
|
20 |
+
|
21 |
+
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]
|
22 |
+
|
23 |
+
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.
|
24 |
+
|
25 |
+
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]
|
26 |
+
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.
|
27 |
+
|
28 |
+
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.
|
29 |
+
|
30 |
+
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.
|
31 |
+
|
32 |
+
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]
|
33 |
+
|
34 |
+
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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+
|
36 |
+
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.
|
37 |
+
|
38 |
+
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]
|
39 |
+
|
40 |
+
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.
|
41 |
+
|
42 |
+
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.
|
43 |
+
|
44 |
+
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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+
|
46 |
+
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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+
|
48 |
+
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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+
|
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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.
|
51 |
+
|
52 |
+
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.
|
53 |
+
|
54 |
+
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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+
|
56 |
+
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]
|
57 |
+
|
58 |
+
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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+
|
60 |
+
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]
|
61 |
+
|
62 |
+
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]
|
63 |
+
|
64 |
+
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]
|
65 |
+
|
66 |
+
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)
|
67 |
+
|
68 |
+
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.
|
69 |
+
|
70 |
+
"...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]
|
71 |
+
|
72 |
+
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]
|
73 |
+
|
74 |
+
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]
|
75 |
+
|
76 |
+
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]
|
77 |
+
|
78 |
+
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:
|
79 |
+
|
80 |
+
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:
|
81 |
+
|
82 |
+
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]
|
83 |
+
|
84 |
+
The Copyright Law in the United States, several exclusive rights are granted to the holder of a copyright, as are listed below:
|
85 |
+
|
86 |
+
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]
|
87 |
+
|
88 |
+
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]
|
89 |
+
|
90 |
+
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]
|
91 |
+
|
92 |
+
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.
|
93 |
+
|
94 |
+
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]
|
95 |
+
|
96 |
+
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.
|
97 |
+
|
98 |
+
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.
|
99 |
+
|
100 |
+
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]
|
101 |
+
|
102 |
+
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.
|
103 |
+
|
104 |
+
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).
|
105 |
+
|
106 |
+
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.
|
107 |
+
|
108 |
+
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.
|
109 |
+
|
110 |
+
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.
|
111 |
+
|
112 |
+
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.
|
113 |
+
|
114 |
+
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:
|
115 |
+
|
116 |
+
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.
|
117 |
+
|
118 |
+
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.
|
119 |
+
|
120 |
+
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.
|
121 |
+
|
122 |
+
EU copyright laws recognise the right of EU member states to implement some national exceptions to copyright. Examples of those exceptions are:
|
123 |
+
|
124 |
+
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]
|
125 |
+
|
126 |
+
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.
|
127 |
+
|
128 |
+
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.
|
129 |
+
|
130 |
+
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.
|
131 |
+
|
132 |
+
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.
|
133 |
+
|
134 |
+
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]
|
135 |
+
|
136 |
+
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]
|
137 |
+
|
138 |
+
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.
|
139 |
+
|
140 |
+
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.
|
141 |
+
|
142 |
+
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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1 |
+
A slum is usually a highly populated urban residential area consisting mostly of closely packed, decrepit housing units in a situation of deteriorated or incomplete infrastructure, inhabited primarily by impoverished persons.[1] Although slums, especially in America, are usually located in urban areas, in other countries they can be located in suburban areas where housing quality is low and living conditions are poor.[2] While slums differ in size and other characteristics, most lack reliable sanitation services, supply of clean water, reliable electricity, law enforcement, and other basic services. Slum residences vary from shanty houses to professionally built dwellings which, because of poor-quality construction and/or lack of basic maintenance, have deteriorated.[3]
|
2 |
+
|
3 |
+
Due to increasing urbanization of the general populace, slums became common in the 18th to late 20th centuries in the United States and Europe.[4][5] Slums are still predominantly found in urban regions of developing countries, but are also still found in developed economies.[6][7]
|
4 |
+
|
5 |
+
According to UN-Habitat, around 33% of the urban population in the developing world in 2012, or about 863 million people, lived in slums.[8] The proportion of urban population living in slums in 2012 was highest in Sub-Saharan Africa (62%), followed by Southern Asia (35%), Southeastern Asia (31%), Eastern Asia (28%), Western Asia (25%), Oceania (24%), Latin America (24%), the Caribbean (24%), and North Africa (13%).[8]:127 Among individual countries, the proportion of urban residents living in slum areas in 2009 was highest in the Central African Republic (95.9%). Between 1990 and 2010, the percentage of people living in slums dropped, even as the total urban population increased.[8] The world's largest slum city is found in the Neza-Chalco-Ixtapaluca area, located in the State of Mexico.[9][10][11]
|
6 |
+
|
7 |
+
Slums form and grow in different parts of the world for many different reasons. Causes include rapid rural-to-urban migration, economic stagnation and depression, high unemployment, poverty, informal economy, forced or manipulated ghettoization, poor planning, politics, natural disasters, and social conflicts.[1][12][13] Strategies tried to reduce and transform slums in different countries, with varying degrees of success, include a combination of slum removal, slum relocation, slum upgrading, urban planning with citywide infrastructure development, and public housing.[14][15]
|
8 |
+
|
9 |
+
It is thought[16] that slum is a British slang word from the East End of London meaning "room", which evolved to "back slum" around 1845 meaning 'back alley, street of poor people.'
|
10 |
+
|
11 |
+
Numerous other non English terms are often used interchangeably with slum: shanty town, favela, rookery, gecekondu, skid row, barrio, ghetto, bidonville, taudis, bandas de miseria, barrio marginal, morro, loteamento, barraca, musseque, tugurio, solares, mudun safi, kawasan kumuh, karyan, medina achouaia, brarek, ishash, galoos, tanake, baladi, trushchoby, chalis, katras, zopadpattis, basti, estero, looban, dagatan, umjondolo, watta, udukku, and chereka bete.[17]
|
12 |
+
|
13 |
+
The word slum has negative connotations, and using this label for an area can be seen as an attempt to delegitimize that land use when hoping to repurpose it.[18]
|
14 |
+
|
15 |
+
Before the 19th century, rich and poor people lived in the same districts, witht he wealthy living on the high sctreets, and the poor in the service streets behind them. But in the 19th century, wealthy and upper middle class people began to move out of the central part of rapidly growing cities, leaving poorer residents behind. [19]
|
16 |
+
|
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Slums were common in the United States and Europe before the early 20th century. London's East End is generally considered the locale where the term originated in the 19th century, where massive and rapid urbanization of the dockside and industrial areas led to intensive overcrowding in a warren of post-medieval streetscape. The suffering of the poor was described in popular fiction by moralist authors such as Charles Dickens – most famously Oliver Twist (1837-9) and echoed the Christian Socialist values of the time, which soon found legal expression in the Public Health Act of 1848. As the slum clearance movement gathered pace, deprived areas such as Old Nichol were fictionalised to raise awareness in the middle classes in the form of moralist novels such as A Child of the Jago (1896) resulting in slum clearance and reconstruction programmes such as the Boundary Estate (1893-1900) and the creation of charitable trusts such as the Peabody Trust founded in 1862 and Joseph Rowntree Foundation (1904) which still operate to provide decent housing today.
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Slums are often associated with Victorian Britain, particularly in industrial English towns, lowland Scottish towns and Dublin City in Ireland. Engels described these British neighborhoods as "cattle-sheds for human beings".[20] These were generally still inhabited until the 1940s, when the British government started slum clearance and built new council houses.[21] There are still examples left of slum housing in the UK, but many have been removed by government initiative, redesigned and replaced with better public housing.
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In Europe, slums were common.[22][23] By the 1920s it had become a common slang expression in England, meaning either various taverns and eating houses, "loose talk" or gypsy language, or a room with "low going-ons". In Life in London Pierce Egan used the word in the context of the "back slums" of Holy Lane or St Giles. A footnote defined slum to mean "low, unfrequent parts of the town". Charles Dickens used the word slum in a similar way in 1840, writing "I mean to take a great, London, back-slum kind walk tonight". Slum began to be used to describe bad housing soon after and was used as alternative expression for rookeries.[24] In 1850 the Catholic Cardinal Wiseman described the area known as Devil's Acre in Westminster, London as follows:
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Close under the Abbey of Westminster there lie concealed labyrinths of lanes and potty and alleys and slums, nests of ignorance, vice, depravity, and crime, as well as of squalor, wretchedness, and disease; whose atmosphere is typhus, whose ventilation is cholera; in which swarms of huge and almost countless population, nominally at least, Catholic; haunts of filth, which no sewage committee can reach – dark corners, which no lighting board can brighten.[25]
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This passage was widely quoted in the national press,[26] leading to the popularization of the word slum to describe bad housing.[24][27]
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In France as in most industrialised European capitals, slums were widespread in Paris and other urban areas in the 19th century, many of which continued through first half of the 20th century. The first cholera epidemic of 1832 triggered a political debate, and Louis René Villermé study[30] of various arrondissements of Paris demonstrated the differences and connection between slums, poverty and poor health.[31] Melun Law first passed in 1849 and revised in 1851, followed by establishment of Paris Commission on Unhealthful Dwellings in 1852 began the social process of identifying the worst housing inside slums, but did not remove or replace slums. After World War II, French people started mass migration from rural to urban areas of France. This demographic and economic trend rapidly raised rents of existing housing as well as expanded slums. French government passed laws to block increase in the rent of housing, which inadvertently made many housing projects unprofitable and increased slums. In 1950, France launched its Habitation à Loyer Modéré[32][33] initiative to finance and build public housing and remove slums, managed by techniciens – urban technocrats.,[34] and financed by Livret A[35] – a tax free savings account for French public.
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New York City is believed to have created the United States' first slum, named the Five Points in 1825, as it evolved into a large urban settlement.[5][36] Five Points was named for a lake named Collect.[36][37] which, by the late 1700s, was surrounded by slaughterhouses and tanneries which emptied their waste directly into its waters. Trash piled up as well and by the early 1800s the lake was filled up and dry. On this foundation was built Five Points, the United States' first slum. Five Points was occupied by successive waves of freed slaves, Irish, then Italian, then Chinese, immigrants. It housed the poor, rural people leaving farms for opportunity, and the persecuted people from Europe pouring into New York City. Bars, bordellos, squalid and lightless tenements lined its streets. Violence and crime were commonplace. Politicians and social elite discussed it with derision. Slums like Five Points triggered discussions of affordable housing and slum removal. As of the start of the 21st century, Five Points slum had been transformed into the Little Italy and Chinatown neighborhoods of New York City, through that city's campaign of massive urban renewal.[4][36]
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Five Points was not the only slum in America.[38][39] Jacob Riis, Walker Evans, Lewis Hine and others photographed many before World War II. Slums were found in every major urban region of the United States throughout most of the 20th century, long after the Great Depression. Most of these slums had been ignored by the cities and states which encompassed them until the 1960s' War on Poverty was undertaken by the Federal government of the United States.
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A type of slum housing, sometimes called poorhouses, crowded the Boston Commons, later at the fringes of the city.[40]
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Rio de Janeiro documented its first slum in 1920 census. By the 1960s, over 33% of population of Rio lived in slums, 45% of Mexico City and Ankara, 65% of Algiers, 35% of Caracas, 25% of Lima and Santiago, 15% of Singapore. By 1980, in various cities and towns of Latin America alone, there were about 25,000 slums.[45]
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Slums sprout and continue for a combination of demographic, social, economic, and political reasons. Common causes include rapid rural-to-urban migration, poor planning, economic stagnation and depression, poverty, high unemployment, informal economy, colonialism and segregation, politics, natural disasters and social conflicts.
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Rural–urban migration is one of the causes attributed to the formation and expansion of slums.[1] Since 1950, world population has increased at a far greater rate than the total amount of arable land, even as agriculture contributes a much smaller percentage of the total economy. For example, in India, agriculture accounted for 52% of its GDP in 1954 and only 19% in 2004;[49] in Brazil, the 2050 GDP contribution of agriculture is one-fifth of its contribution in 1951.[50] Agriculture, meanwhile, has also become higher yielding, less disease prone, less physically harsh and more efficient with tractors and other equipment. The proportion of people working in agriculture has declined by 30% over the last 50 years, while global population has increased by 250%.[1]
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Many people move to urban areas primarily because cities promise more jobs, better schools for poor's children, and diverse income opportunities than subsistence farming in rural areas.[51] For example, in 1995, 95.8% of migrants to Surabaya, Indonesia reported that jobs were their primary motivation for moving to the city.[52] However, some rural migrants may not find jobs immediately because of their lack of skills and the increasingly competitive job markets, which leads to their financial shortage.[53] Many cities, on the other hand, do not provide enough low-cost housing for a large number of rural-urban migrant workers. Some rural–urban migrant workers cannot afford housing in cities and eventually settle down in only affordable slums.[54] Further, rural migrants, mainly lured by higher incomes, continue to flood into cities. They thus expand the existing urban slums.[53]
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According to Ali and Toran, social networks might also explain rural–urban migration and people's ultimate settlement in slums. In addition to migration for jobs, a portion of people migrate to cities because of their connection with relatives or families. Once their family support in urban areas is in slums, those rural migrants intend to live with them in slums[55]
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The formation of slums is closely linked to urbanization.[56] In 2008, more than 50% of the world's population lived in urban areas. In China, for example, it is estimated that the population living in urban areas will increase by 10% within a decade according to its current rates of urbanization.[57] The UN-Habitat reports that 43% of urban population in developing countries and 78% of those in the least developed countries are slum dwellers.[7]
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Some scholars suggest that urbanization creates slums because local governments are unable to manage urbanization, and migrant workers without an affordable place to live in, dwell in slums.[58] Rapid urbanization drives economic growth and causes people to seek working and investment opportunities in urban areas.[59][60] However, as evidenced by poor urban infrastructure and insufficient housing, the local governments sometimes are unable to manage this transition.[61][62] This incapacity can be attributed to insufficient funds and inexperience to handle and organize problems brought by migration and urbanization.[60] In some cases, local governments ignore the flux of immigrants during the process of urbanization.[59] Such examples can be found in many African countries. In the early 1950s, many African governments believed that slums would finally disappear with economic growth in urban areas. They neglected rapidly spreading slums due to increased rural-urban migration caused by urbanization.[63] Some governments, moreover, mapped the land where slums occupied as undeveloped land.[64]
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Another type of urbanization does not involve economic growth but economic stagnation or low growth, mainly contributing to slum growth in Sub-Saharan Africa and parts of Asia. This type of urbanization involves a high rate of unemployment, insufficient financial resources and inconsistent urban planning policy.[65] In these areas, an increase of 1% in urban population will result in an increase of 1.84% in slum prevalence.[66]
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Urbanization might also force some people to live in slums when it influences land use by transforming agricultural land into urban areas and increases land value. During the process of urbanization, some agricultural land is used for additional urban activities. More investment will come into these areas, which increases the land value.[67] Before some land is completely urbanized, there is a period when the land can be used for neither urban activities nor agriculture. The income from the land will decline, which decreases the people's incomes in that area. The gap between people's low income and the high land price forces some people to look for and construct cheap informal settlements, which are known as slums in urban areas.[62] The transformation of agricultural land also provides surplus labor, as peasants have to seek jobs in urban areas as rural-urban migrant workers.[58]
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Many slums are part of economies of agglomeration in which there is an emergence of economies of scale at the firm level, transport costs and the mobility of the industrial labour force.[68] The increase in returns of scale will mean that the production of each good will take place in a single location.[68] And even though an agglomerated economy benefits these cities by bringing in specialization and multiple competing suppliers, the conditions of slums continue to lag behind in terms of quality and adequate housing. Alonso-Villar argues that the existence of transport costs implies that the best locations for a firm will be those with easy access to markets, and the best locations for workers, those with easy access to goods. The concentration is the result of a self-reinforcing process of agglomeration.[68] Concentration is a common trend of the distribution of population. Urban growth is dramatically intense in the less developed countries, where a large number of huge cities have started to appear; which means high poverty rates, crime, pollution and congestion.[68]
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Lack of affordable low cost housing and poor planning encourages the supply side of slums.[69] The Millennium Development Goals proposes that member nations should make a "significant improvement in the lives of at least 100 million slum dwellers" by 2020.[70] If member nations succeed in achieving this goal, 90% of the world total slum dwellers may remain in the poorly housed settlements by 2020.[71] Choguill claims that the large number of slum dwellers indicates a deficiency of practical housing policy.[71] Whenever there is a significant gap in growing demand for housing and insufficient supply of affordable housing, this gap is typically met in part by slums.[69] The Economist summarizes this as, "good housing is obviously better than a slum, but a slum is better than none".[72]
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Insufficient financial resources [73] and lack of coordination in government bureaucracy [66] are two main causes of poor house planning. Financial deficiency in some governments may explain the lack of affordable public housing for the poor since any improvement of the tenant in slums and expansion of public housing programs involve a great increase in the government expenditure.[73] The problem can also lie on the failure in coordination among different departments in charge of economic development, urban planning, and land allocation. In some cities, governments assume that the housing market will adjust the supply of housing with a change in demand. However, with little economic incentive, the housing market is more likely to develop middle-income housing rather than low-cost housing. The urban poor gradually become marginalized in the housing market where few houses are built to sell to them.[66][74]
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Some of the slums in today's world are a product of urbanization brought by colonialism. For instance, the Europeans arrived in Kenya in the nineteenth century and created urban centers such as Nairobi mainly to serve their financial interests. They regarded the Africans as temporary migrants and needed them only for supply of labor. The housing policy aiming to accommodate these workers was not well enforced and the government built settlements in the form of single-occupancy bedspaces. Due to the cost of time and money in their movement back and forth between rural and urban areas, their families gradually migrated to the urban centre. As they could not afford to buy houses, slums were thus formed.[78]
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Others were created because of segregation imposed by the colonialists. For example, Dharavi slum of Mumbai – now one of the largest slums in India, used to be a village referred to as Koliwadas, and Mumbai used to be referred as Bombay. In 1887, the British colonial government expelled all tanneries, other noxious industry and poor natives who worked in the peninsular part of the city and colonial housing area, to what was back then the northern fringe of the city – a settlement now called Dharavi. This settlement attracted no colonial supervision or investment in terms of road infrastructure, sanitation, public services or housing. The poor moved into Dharavi, found work as servants in colonial offices and homes and in the foreign owned tanneries and other polluting industries near Dharavi. To live, the poor built shanty towns within easy commute to work. By 1947, the year India became an independent nation of the commonwealth, Dharavi had blossomed into Bombay's largest slum.
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[75]
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Similarly, some of the slums of Lagos, Nigeria sprouted because of neglect and policies of the colonial era.[79] During apartheid era of South Africa, under the pretext of sanitation and plague epidemic prevention, racial and ethnic group segregation was pursued, people of color were moved to the fringes of the city, policies that created Soweto and other slums – officially called townships.[80] Large slums started at the fringes of segregation-conscious colonial city centers of Latin America.[81] Marcuse suggests ghettoes in the United States, and elsewhere, have been created and maintained by the segregationist policies of the state and regionally dominant group.[82][83]
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Social exclusion and poor infrastructure forces the poor to adapt to conditions beyond his or her control. Poor families that cannot afford transportation, or those who simply lack any form of affordable public transportation, generally end up in squat settlements within walking distance or close enough to the place of their formal or informal employment.[69] Ben Arimah cites this social exclusion and poor infrastructure as a cause for numerous slums in African cities.[66] Poor quality, unpaved streets encourage slums; a 1% increase in paved all-season roads, claims Arimah, reduces slum incidence rate by about 0.35%. Affordable public transport and economic infrastructure empowers poor people to move and consider housing options other than their current slums.[85][86]
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A growing economy that creates jobs at rate faster than population growth, offers people opportunities and incentive to relocate from poor slum to more developed neighborhoods. Economic stagnation, in contrast, creates uncertainties and risks for the poor, encouraging people to stay in the slums. Economic stagnation in a nation with a growing population reduces per capita disposal income in urban and rural areas, increasing urban and rural poverty. Rising rural poverty also encourages migration to urban areas. A poorly performing economy, in other words, increases poverty and rural-to-urban migration, thereby increasing slums.[87][88]
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Many slums grow because of growing informal economy which creates demand for workers. Informal economy is that part of an economy that is neither registered as a business nor licensed, one that does not pay taxes and is not monitored by local or state or federal government.[89] Informal economy grows faster than formal economy when government laws and regulations are opaque and excessive, government bureaucracy is corrupt and abusive of entrepreneurs, labor laws are inflexible, or when law enforcement is poor.[90] Urban informal sector is between 20 and 60% of most developing economies' GDP; in Kenya, 78 per cent of non-agricultural employment is in the informal sector making up 42 per cent of GDP.[1] In many cities the informal sector accounts for as much as 60 per cent of employment of the urban population. For example, in Benin, slum dwellers comprise 75 per cent of informal sector workers, while in Burkina Faso, the Central African Republic, Chad and Ethiopia, they make up 90 per cent of the informal labour force.[91] Slums thus create an informal alternate economic ecosystem, that demands low paid flexible workers, something impoverished residents of slums deliver. In other words, countries where starting, registering and running a formal business is difficult, tend to encourage informal businesses and slums.[92][93][94] Without a sustainable formal economy that raise incomes and create opportunities, squalid slums are likely to continue.[95]
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The World Bank and UN Habitat estimate, assuming no major economic reforms are undertaken, more than 80% of additional jobs in urban areas of developing world may be low-paying jobs in the informal sector. Everything else remaining same, this explosive growth in the informal sector is likely to be accompanied by a rapid growth of slums.[1]
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Labour, Work
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Research in the latest years based on ethnographic studies, conducted since 2008 about slums, published initially in 2017, has found out the primary importance of labour as the main cause of emergence, rural-urban migration, consolidation and growth of informal settlements .[96][97] It also showed that work has also a crucial role in the self-construction of houses, alleys and overall informal planning of slums, as well as constituting a central aspect by residents living in slums when their communities suffer upgrading schemes or when they are resettled to formal housing.[96]
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For example, it was recently proved that in a small favela in the northeast of Brazil (Favela Sururu de Capote), the migration of dismissed sugar cane factory workers to the city of Maceió (who initiated the self-construction of the favela), has been driven by the necessity to find a job in the city.[97] The same observation was noticed on the new migrants who contribute to the consolidation and growth of the slum. Also, the choice of the terrain for the construction of the favela (the margins of a lagoon) followed the rationale that it could offer conditions to provide them means of work. Circa 80% of residents living in that community live from the fishery of a mussel which divides the community through gender and age.[97] Alleys and houses were planned to facilitate the working activities, that provided subsistence and livelihood to the community. When resettled, the main reason of changes of formal housing units was due to the lack of possibilities to perform their work in the new houses designed according to formal architecture principles, or even by the distances they had to travel to work in the slum where they originally lived, which was in turn faced by residents by self-constructing spaces to shelter the work originally performed in the slum, in the formal housing units.[96] Similar observations were made in other slums.[96] Residents also reported that their work constitutes their dignity, citizenship, and self-esteem in the underprivileged settings in which they live.[96] The reflection of this recent research was possible due to participatory observations and the fact that the author of the research has lived in a slum to verify the socioeconomic practices which were prone to shape, plan and govern space in slums.[96]
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Urban poverty encourages the formation and demand for slums.[3] With rapid shift from rural to urban life, poverty migrates to urban areas. The urban poor arrives with hope, and very little of anything else. He or she typically has no access to shelter, basic urban services and social amenities. Slums are often the only option for the urban poor.[98]
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Many local and national governments have, for political interests, subverted efforts to remove, reduce or upgrade slums into better housing options for the poor.[13] Throughout the second half of the 19th century, for example, French political parties relied on votes from slum population and had vested interests in maintaining that voting block. Removal and replacement of slum created a conflict of interest, and politics prevented efforts to remove, relocate or upgrade the slums into housing projects that are better than the slums. Similar dynamics are cited in favelas of Brazil,[99] slums of India,[100][101] and shanty towns of Kenya.[102]
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Scholars[13][103] claim politics also drives rural-urban migration and subsequent settlement patterns. Pre-existing patronage networks, sometimes in the form of gangs and other times in the form of political parties or social activists, inside slums seek to maintain their economic, social and political power. These social and political groups have vested interests to encourage migration by ethnic groups that will help maintain the slums, and reject alternate housing options even if the alternate options are better in every aspect than the slums they seek to replace.[101][104]
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Millions of Lebanese people formed slums during the Lebanese Civil War from 1975 to 1990.[105][106] Similarly, in recent years, numerous slums have sprung around Kabul to accommodate rural Afghans escaping Taliban violence.[107]
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Major natural disasters in poor nations often lead to migration of disaster-affected families from areas crippled by the disaster to unaffected areas, the creation of temporary tent city and slums, or expansion of existing slums.[108] These slums tend to become permanent because the residents do not want to leave, as in the case of slums near Port-au-Prince after the 2010 Haiti earthquake,[109][110] and slums near Dhaka after 2007 Bangladesh Cyclone Sidr.[111]
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Slums typically begin at the outskirts of a city. Over time, the city may expand past the original slums, enclosing the slums inside the urban perimeter. New slums sprout at the new boundaries of the expanding city, usually on publicly owned lands, thereby creating an urban sprawl mix of formal settlements, industry, retail zones and slums. This makes the original slums valuable property, densely populated with many conveniences attractive to the poor.[112]
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At their start, slums are typically located in least desirable lands near the town or city, that are state owned or philanthropic trust owned or religious entity owned or have no clear land title. In cities located over a mountainous terrain, slums begin on difficult to reach slopes or start at the bottom of flood prone valleys, often hidden from plain view of city center but close to some natural water source.[112] In cities located near lagoons, marshlands and rivers, they start at banks or on stilts above water or the dry river bed; in flat terrain, slums begin on lands unsuitable for agriculture, near city trash dumps, next to railway tracks,[113] and other shunned undesirable locations.
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These strategies shield slums from the risk of being noticed and removed when they are small and most vulnerable to local government officials. Initial homes tend to be tents and shacks that are quick to install, but as slum grows, becomes established and newcomers pay the informal association or gang for the right to live in the slum, the construction materials for the slums switches to more lasting materials such as bricks and concrete, suitable for slum's topography.[114][115]
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The original slums, over time, get established next to centers of economic activity, schools, hospitals, sources of employment, which the poor rely on.[96] Established old slums, surrounded by the formal city infrastructure, cannot expand horizontally; therefore, they grow vertically by stacking additional rooms, sometimes for a growing family and sometimes as a source of rent from new arrivals in slums.[116] Some slums name themselves after founders of political parties, locally respected historical figures, current politicians or politician's spouse to garner political backing against eviction.[117]
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Informality of land tenure is a key characteristic of urban slums.[1] At their start, slums are typically located in least desirable lands near the town or city, that are state owned or philanthropic trust owned or religious entity owned or have no clear land title.[112] Some immigrants regard unoccupied land as land without owners and therefore occupy it.[118] In some cases the local community or the government allots lands to people, which will later develop into slums and over which the dwellers don't have property rights.[60] Informal land tenure also includes occupation of land belonging to someone else.[119] According to Flood, 51 percent of slums are based on invasion to private land in sub-Saharan Africa, 39 percent in North Africa and West Asia, 10 percent in South Asia, 40 percent in East Asia, and 40 percent in Latin America and the Caribbean.[120] In some cases, once the slum has many residents, the early residents form a social group, an informal association or a gang that controls newcomers, charges a fee for the right to live in the slums, and dictates where and how new homes get built within the slum. The newcomers, having paid for the right, feel they have commercial right to the home in that slum.[112][121] The slum dwellings, built earlier or in later period as the slum grows, are constructed without checking land ownership rights or building codes, are not registered with the city, and often not recognized by the city or state governments.[122][123]
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Secure land tenure is important for slum dwellers as an authentic recognition of their residential status in urban areas. It also encourages them to upgrade their housing facilities, which will give them protection against natural and unnatural hazards.[60] Undocumented ownership with no legal title to the land also prevents slum settlers from applying for mortgage, which might worsen their financial situations. In addition, without registration of the land ownership, the government has difficulty in upgrading basic facilities and improving the living environment.[118] Insecure tenure of the slum, as well as lack of socially and politically acceptable alternatives to slums, also creates difficulty in citywide infrastructure development such as rapid mass transit, electrical line and sewer pipe layout, highways and roads.[124]
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Slum areas are characterized by substandard housing structures.[125][126] Shanty homes are often built hurriedly, on ad hoc basis, with materials unsuitable for housing. Often the construction quality is inadequate to withstand heavy rains, high winds, or other local climate and location. Paper, plastic, earthen floors, mud-and-wattle walls, wood held together by ropes, straw or torn metal pieces as roofs are some of the materials of construction. In some cases, brick and cement is used, but without attention to proper design and structural engineering requirements.[127] Various space, dwelling placement bylaws and local building codes may also be extensively violated.[3][128]
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Overcrowding is another characteristic of slums. Many dwellings are single room units, with high occupancy rates. Each dwelling may be cohabited by multiple families. Five and more persons may share a one-room unit; the room is used for cooking, sleeping and living. Overcrowding is also seen near sources of drinking water, cleaning, and sanitation where one toilet may serve dozens of families.[129][130][131] In a slum of Kolkata, India, over 10 people sometimes share a 45 m2 room.[132] In Kibera slum of Nairobi, Kenya, population density is estimated at 2,000 people per hectare — or about 500,000 people in one square mile.[133]
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However, the density and neighbourhood effects of slum populations may also offer an opportunity to target health interventions.[134]
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One of the identifying characteristics of slums is the lack of or inadequate public infrastructure.[135][136] From safe drinking water to electricity, from basic health care to police services, from affordable public transport to fire/ambulance services, from sanitation sewer to paved roads, new slums usually lack all of these. Established, old slums sometimes garner official support and get some of these infrastructure such as paved roads and unreliable electricity or water supply.[137] Slums usually lack street addresses, which creates further problems.[138]
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Slums often have very narrow alleys that do not allow vehicles (including emergency vehicles) to pass. The lack of services such as routine garbage collection allows rubbish to accumulate in huge quantities.[139] The lack of infrastructure is caused by the informal nature of settlement and no planning for the poor by government officials. Fires are often a serious problem.[140]
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In many countries, local and national government often refuse to recognize slums, because the slum are on disputed land, or because of the fear that quick official recognition will encourage more slum formation and seizure of land illegally. Recognizing and notifying slums often triggers a creation of property rights, and requires that the government provide public services and infrastructure to the slum residents.[141][142] With poverty and informal economy, slums do not generate tax revenues for the government and therefore tend to get minimal or slow attention. In other cases, the narrow and haphazard layout of slum streets, houses and substandard shacks, along with persistent threat of crime and violence against infrastructure workers, makes it difficult to layout reliable, safe, cost effective and efficient infrastructure. In yet others, the demand far exceeds the government bureaucracy's ability to deliver.[143][144]
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Low socioeconomic status of its residents is another common characteristic attributed to slum residents.[145]
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Slums are often placed among the places vulnerable to natural disasters such as landslides[146] and floods.[147][148] In cities located over mountainous terrain, slums begin on slopes difficult to reach or start at the bottom of flood-prone valleys, often hidden from plain view of city center but close to some natural water source.[112] In cities located near lagoons, marshlands and rivers, they start at banks or on stilts above water or the dry river bed; in flat terrain, slums begin on lands unsuitable for agriculture, near city trash dumps, next to railway tracks,[113] and other shunned, undesirable locations. These strategies shield slums from the risk of being noticed and removed when they are small and most vulnerable to local government officials.[112] However, the ad hoc construction, lack of quality control on building materials used, poor maintenance, and uncoordinated spatial design make them prone to extensive damage during earthquakes as well from decay.[149][150] These risks will be intensified by climate change.[151]
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Some slums risk man-made hazards such as toxic industries, traffic congestion and collapsing infrastructure.[56] Fires are another major risk to slums and its inhabitants,[153][154] with streets too narrow to allow proper and quick access to fire control trucks.[152][155]
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Due to lack of skills and education as well as competitive job markets,[156] many slum dwellers face high rates of unemployment.[157] The limit of job opportunities causes many of them to employ themselves in the informal economy, inside the slum or in developed urban areas near the slum. This can sometimes be licit informal economy or illicit informal economy without working contract or any social security. Some of them are seeking jobs at the same time and some of those will eventually find jobs in formal economies after gaining some professional skills in informal sectors.[156]
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Examples of licit informal economy include street vending, household enterprises, product assembly and packaging, making garlands and embroideries, domestic work, shoe polishing or repair, driving tuk-tuk or manual rickshaws, construction workers or manually driven logistics, and handicrafts production.[158][159][97] In some slums, people sort and recycle trash of different kinds (from household garbage to electronics) for a living – selling either the odd usable goods or stripping broken goods for parts or raw materials.[97] Typically these licit informal economies require the poor to regularly pay a bribe to local police and government officials.[160]
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Examples of illicit informal economy include illegal substance and weapons trafficking, drug or moonshine/changaa production, prostitution and gambling – all sources of risks to the individual, families and society.[162][163][164] Recent reports reflecting illicit informal economies include drug trade and distribution in Brazil's favelas, production of fake goods in the colonías of Tijuana, smuggling in katchi abadis and slums of Karachi, or production of synthetic drugs in the townships of Johannesburg.[165]
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The slum-dwellers in informal economies run many risks. The informal sector, by its very nature, means income insecurity and lack of social mobility. There is also absence of legal contracts, protection of labor rights, regulations and bargaining power in informal employments.[166]
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Some scholars suggest that crime is one of the main concerns in slums.[167] Empirical data suggest crime rates are higher in some slums than in non-slums, with slum homicides alone reducing life expectancy of a resident in a Brazil slum by 7 years than for a resident in nearby non-slum.[7][168] In some countries like Venezuela, officials have sent in the military to control slum criminal violence involved with drugs and weapons.[169] Rape is another serious issue related to crime in slums. In Nairobi slums, for example, one fourth of all teenage girls are raped each year.[170]
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On the other hand, while UN-Habitat reports some slums are more exposed to crimes with higher crime rates (for instance, the traditional inner-city slums), crime is not the direct resultant of block layout in many slums. Rather crime is one of the symptoms of slum dwelling; thus slums consist of more victims than criminals.[7] Consequently, slums in all do not have consistently high crime rates; slums have the worst crime rates in sectors maintaining influence of illicit economy – such as drug trafficking, brewing, prostitution and gambling –. Often in such circumstance, multiple gangs fight for control over revenue.[171][172]
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Slum crime rate correlates with insufficient law enforcement and inadequate public policing. In main cities of developing countries, law enforcement lags behind urban growth and slum expansion. Often police can not reduce crime because, due to ineffective city planning and governance, slums set inefficient crime prevention system. Such problems is not primarily due to community indifference. Leads and information intelligence from slums are rare, streets are narrow and a potential death traps to patrol, and many in the slum community have an inherent distrust of authorities from fear ranging from eviction to collection on unpaid utility bills to general law and order.[173] Lack of formal recognition by the governments also leads to few formal policing and public justice institutions in slums.[7]
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Women in slums are at greater risk of physical and sexual violence.[174] Factors such as unemployment that lead to insufficient resources in the household can increase marital stress and therefore exacerbate domestic violence.[175]
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Slums are often non-secured areas and women often risk sexual violence when they walk alone in slums late at night. Violence against women and women's security in slums emerge as recurrent issues.[176]
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Another prevalent form of violence in slums is armed violence (gun violence), mostly existing in African and Latin American slums. It leads to homicide and the emergence of criminal gangs.[177] Typical victims are male slum residents.[178][178][179] Violence often leads to retaliatory and vigilante violence within the slum.[180] Gang and drug wars are endemic in some slums, predominantly between male residents of slums.[181][182] The police sometimes participate in gender-based violence against men as well by picking up some men, beating them and putting them in jail. Domestic violence against men also exists in slums, including verbal abuses and even physical violence from households.[182]
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Cohen as well as Merton theorized that the cycle of slum violence does not mean slums are inevitably criminogenic, rather in some cases it is frustration against life in slum, and a consequence of denial of opportunity to slum residents to leave the slum.[183][184][185] Further, crime rates are not uniformly high in world's slums; the highest crime rates in slums are seen where illicit economy – such as drug trafficking, brewing, prostitution and gambling – is strong and multiple gangs are fighting for control.[186][187]
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Slum dwellers usually experience a high rate of disease.[188][134] Diseases that have been reported in slums include cholera,[189][190] HIV/AIDS,[191][192] measles,[193] malaria,[194] dengue,[195] typhoid,[196] drug resistant tuberculosis,[197][198] and other epidemics.[199][200] Studies focus on children's health in slums address that cholera and diarrhea are especially common among young children.[201][202] Besides children's vulnerability to diseases, many scholars also focus on high HIV/AIDS prevalence in slums among women.[203][204] Throughout slum areas in various parts of the world, infectious diseases are a significant contributor to high mortality rates.[205] For example, according to a study in Nairobi's slums, HIV/AIDS and tuberculosis attributed to about 50% of the mortality burden.[206]
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Factors that have been attributed to a higher rate of disease transmission in slums include high population densities, poor living conditions, low vaccination rates, insufficient health-related data and inadequate health service.[207] Overcrowding leads to faster and wider spread of diseases due to the limited space in slum housing.[188][134] Poor living conditions also make slum dwellers more vulnerable to certain diseases. Poor water quality, a manifest example, is a cause of many major illnesses including malaria, diarrhea and trachoma.[208] Improving living conditions such as introduction of better sanitation and access to basic facilities can ameliorate the effects of diseases, such as cholera.[201][209]
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Slums have been historically linked to epidemics, and this trend has continued in modern times.[210][211][212] For example, the slums of West African nations such as Liberia were crippled by as well as contributed to the outbreak and spread of Ebola in 2014.[213][214] Slums are considered a major public health concern and potential breeding grounds of drug resistant diseases for the entire city, the nation, as well as the global community.[215][216]
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Child malnutrition is more common in slums than in non-slum areas.[217]
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In Mumbai and New Delhi, 47% and 51% of slum children under the age of five are stunted and 35% and 36% of them are underweighted. These children all suffer from third-degree malnutrition, the most severe level, according to WHO standards.[218] A study conducted by Tada et al. in Bangkok slums illustrates that in terms of weight-forage, 25.4% of the children who participated in the survey suffered from malnutrition, compared to around 8% national malnutrition prevalence in Thailand.[219] In Ethiopia and the Niger, rates of child malnutrition in urban slums are around 40%.[220]
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The major nutritional problems in slums are protein-energy malnutrition (PEM), vitamin A deficiency (VAD), iron deficiency anemia (IDA) and iodine deficiency disorders (IDD).[217] Malnutrition can sometimes lead to death among children.[221] Dr. Abhay Bang's report shows that malnutrition kills 56,000 children annually in urban slums in India.[222]
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Widespread child malnutrition in slums is closely related to family income, mothers' food practice, mothers' educational level, and maternal employment or housewifery.[219] Poverty may result in inadequate food intake when people cannot afford to buy and store enough food, which leads to malnutrition.[223] Another common cause is mothers' faulty feeding practices, including inadequate breastfeeding and wrongly preparation of food for children.[217] Tada et al.'s study in Bangkok slums shows that around 64% of the mothers sometimes fed their children instant food instead of a normal meal. And about 70% of the mothers did not provide their children three meals everyday. Mothers' lack of education leads to their faulty feeding practices. Many mothers in slums don't have knowledge on food nutrition for children.[219] Maternal employment also influences children's nutritional status. For the mothers who work outside, their children are prone to be malnourished. These children are likely to be neglected by their mothers or sometimes not carefully looked after by their female relatives.[217] Recent study has shown improvements in health awareness in adolescent age group of a rural slum area.[224]
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A multitude of non-contagious diseases also impact health for slum residents. Examples of prevalent non-infectious diseases include: cardiovascular disease, diabetes, chronic respiratory disease, neurological disorders, and mental illness.[225] In some slum areas of India, diarrhea is a significant health problem among children. Factors like poor sanitation, low literacy rates, and limited awareness make diarrhea and other dangerous diseases extremely prevalent and burdensome on the community.[226]
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Lack of reliable data also has a negative impact on slum dwellers' health. A number of slum families do not report cases or seek professional medical care, which results in insufficient data.[227] This might prevent appropriate allocation of health care resources in slum areas since many countries base their health care plans on data from clinic, hospital, or national mortality registry.[228] Moreover, health service is insufficient or inadequate in most of the world's slums.[228] Emergency ambulance service and urgent care services are typically unavailable, as health service providers sometimes avoid servicing slums.[229][228] A study shows that more than half of slum dwellers are prone to visit private practitioners or seek self-medication with medicines available in the home.[230] Private practitioners in slums are usually those who are unlicensed or poorly trained and they run clinics and pharmacies mainly for the sake of money.[228] The categorization of slum health by the government and census data also has an effect on the distribution and allocation of health resources in inner city areas. A significant portion of city populations face challenges with access to health care but do not live in locations that are described as within the "slum" area.[231]
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Overall, a complex network of physical, social, and environmental factors contribute to the health threats faced by slum residents.[232]
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Recent years have seen a dramatic growth in the number of slums as urban populations have increased in developing countries.[233] Nearly a billion people worldwide live in slums, and some project the figure may grow to 2 billion by 2030 if governments and the global community ignore slums and continue current urban policies. United Nations Habitat group believes change is possible. To achieve the goal of "cities without slums", the UN claims that governments must undertake vigorous urban planning, city management, infrastructure development, slum upgrading and poverty reduction.[14]
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Some city and state officials have simply sought to remove slums.[234][235] This strategy for dealing with slums is rooted in the fact that slums typically start illegally on someone else's land property, and they are not recognized by the state. As the slum started by violating another's property rights, the residents have no legal claim to the land.[236][237]
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Critics argue that slum removal by force tend to ignore the social problems that cause slums. The poor children as well as working adults of a city's informal economy need a place to live. Slum clearance removes the slum, but it does not remove the causes that create and maintain the slum.[238][239]
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Slum relocation strategies rely on removing the slums and relocating the slum poor to free semi-rural peripheries of cities, sometimes in free housing. This strategy ignores several dimensions of a slum life. The strategy sees slum as merely a place where the poor lives. In reality, slums are often integrated with every aspect of a slum resident's life, including sources of employment, distance from work and social life.[240] Slum relocation that displaces the poor from opportunities to earn a livelihood, generates economic insecurity in the poor.[241] In some cases, the slum residents oppose relocation even if the replacement land and housing to the outskirts of cities is free and of better quality than their current house. Examples include Zone One Tondo Organization of Manila, Philippines and Abahlali baseMjondolo of Durban, South Africa.[242] In other cases, such as Ennakhil slum relocation project in Morocco, systematic social mediation has worked. The slum residents have been convinced that their current location is a health hazard, prone to natural disaster, or that the alternative location is well connected to employment opportunities.[243]
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Some governments have begun to approach slums as a possible opportunity to urban development by slum upgrading. This approach was inspired in part by the theoretical writings of John Turner in 1972.[244][245] The approach seeks to upgrade the slum with basic infrastructure such as sanitation, safe drinking water, safe electricity distribution, paved roads, rain water drainage system, and bus/metro stops.[246] The assumption behind this approach is that if slums are given basic services and tenure security – that is, the slum will not be destroyed and slum residents will not be evicted, then the residents will rebuild their own housing, engage their slum community to live better, and over time attract investment from government organizations and businesses. Turner argued to demolish the housing, but to improve the environment: if governments can clear existing slums of unsanitary human waste, polluted water and litter, and from muddy unlit lanes, they do not have to worry about the shanty housing.[247] "Squatters" have shown great organizational skills in terms of land management, and they will maintain the infrastructure that is provided.[247]
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In Mexico City for example, the government attempted to upgrade and urbanize settled slums in the periphery during the 1970s and 1980s by including basic amenities such as concrete roads, parks, illumination and sewage. Currently, most slums in Mexico City face basic characteristics of traditional slums, characterized to some extent in housing, population density, crime and poverty, however, the vast majority of its inhabitants have access to basic amenities and most areas are connected to major roads and completely urbanized. Nevertheless, smaller settlements lacking these can still be found in the periphery of the city and its inhabitants are known as "paracaidistas".
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Another example of this approach is the slum upgrade in Tondo slum near Manila, Philippines.[248] The project was anticipated to be complete in four years, but it took nine. There was a large increase in cost, numerous delays, re-engineering of details to address political disputes, and other complications after the project. Despite these failures, the project reaffirmed the core assumption and Tondo families did build their own houses of far better quality than originally assumed. Tondo residents became property owners with a stake in their neighborhood. A more recent example of slum-upgrading approach is PRIMED initiative in Medellin, Colombia, where streets, Metrocable transportation and other public infrastructure has been added. These slum infrastructure upgrades were combined with city infrastructure upgrade such as addition of metro, paved roads and highways to empower all city residents including the poor with reliable access throughout city.[249]
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Most slum upgrading projects, however, have produced mixed results. While initial evaluations were promising and success stories widely reported by media, evaluations done 5 to 10 years after a project completion have been disappointing. Herbert Werlin[247] notes that the initial benefits of slum upgrading efforts have been ephemeral. The slum upgrading projects in kampungs of Jakarta Indonesia, for example, looked promising in first few years after upgrade, but thereafter returned to a condition worse than before, particularly in terms of sanitation, environmental problems and safety of drinking water. Communal toilets provided under slum upgrading effort were poorly maintained, and abandoned by slum residents of Jakarta.[250] Similarly slum upgrading efforts in Philippines,[251][252] India[253] and Brazil[254][255] have proven to be excessively more expensive than initially estimated, and the condition of the slums 10 years after completion of slum upgrading has been slum like. The anticipated benefits of slum upgrading, claims Werlin, have proven to be a myth.[247] There is limited but consistent evidence that slums upgrading may prevent diarrhoeal diseases and water-related expenditure.[256]
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Slum upgrading is largely a government controlled, funded and run process, rather than a competitive market driven process. Krueckeberg and Paulsen note[259] conflicting politics, government corruption and street violence in slum regularization process is part of the reality. Slum upgrading and tenure regularization also upgrade and regularize the slum bosses and political agendas, while threatening the influence and power of municipal officials and ministries. Slum upgrading does not address poverty, low paying jobs from informal economy, and other characteristics of slums.[96] Recent research shows that the lack of these options make residents to undertake measures to assure their working needs.[97] One example in the northeast of Brazil, Vila S. Pedro, was mischaracterized by informal self-constructions by residents to restore working opportunities originally employed in the informal settlement.[96] It is unclear whether slum upgrading can lead to long-term sustainable improvement to slums.[260]
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Urban infrastructure such as reliable high speed mass transit system, motorways/interstates, and public housing projects have been cited[261][262] as responsible for the disappearance of major slums in the United States and Europe from the 1960s through 1970s. Charles Pearson argued in UK Parliament that mass transit would enable London to reduce slums and relocate slum dwellers. His proposal was initially rejected for lack of land and other reasons; but Pearson and others persisted with creative proposals such as building the mass transit under the major roads already in use and owned by the city. London Underground was born, and its expansion has been credited to reducing slums in respective cities[263] (and to an extent, the New York City Subway's smaller expansion).[264]
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As cities expanded and business parks scattered due to cost ineffectiveness, people moved to live in the suburbs; thus retail, logistics, house maintenance and other businesses followed demand patterns. City governments used infrastructure investments and urban planning to distribute work, housing, green areas, retail, schools and population densities. Affordable public mass transit in cities such as New York City, London and Paris allowed the poor to reach areas where they could earn a livelihood. Public and council housing projects cleared slums and provided more sanitary housing options than what existed before the 1950s.[265]
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Slum clearance became a priority policy in Europe between 1950–1970s, and one of the biggest state-led programs. In the UK, the slum clearance effort was bigger in scale than the formation of British Railways, the National Health Service and other state programs. UK Government data suggests the clearances that took place after 1955 demolished about 1.5 million slum properties, resettling about 15% of UK's population out of these properties.[266] Similarly, after 1950, Denmark and others pursued parallel initiatives to clear slums and resettle the slum residents.[257]
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The US and European governments additionally created a procedure by which the poor could directly apply to the government for housing assistance, thus becoming a partner to identifying and meeting the housing needs of its citizens.[267][268] One historically effective approach to reduce and prevent slums has been citywide infrastructure development combined with affordable, reliable public mass transport and public housing projects.[269]
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In Brazil, in 2014, the government built about 2 million houses around the country for lower income families. The public program was named "Minha casa, minha vida" which means "My house, my life".[citation needed] The project has built 2 million popular houses and it has 2 million more under construction.[citation needed]
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However, slum relocation in the name of urban development is criticized for uprooting communities without consultation or consideration of ongoing livelihood. For example, the Sabarmati Riverfront Project, a recreational development in Ahmedabad, India, forcefully relocated over 19,000 families from shacks along the river to 13 public housing complexes that were an average of 9 km away from the family's original dwelling.[270]
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Slums exist in many countries and have become a global phenomenon.[272] A UN-Habitat report states that in 2006 there were nearly 1 billion people settling in slum settlements in most cities of Latin America, Asia, and Africa, and a smaller number in the cities of Europe and North America.[273] In 2012, according to UN-Habitat, about 863 million people in the developing world lived in slums. Of these, the urban slum population at mid-year was around 213 million in Sub-Saharan Africa, 207 million in East Asia, 201 million in South Asia, 113 million in Latin America and Caribbean, 80 million in Southeast Asia, 36 million in West Asia, and 13 million in North Africa.[8]:127 Among individual countries, the proportion of urban residents living in slum areas in 2009 was highest in the Central African Republic (95.9%), Chad (89.3%), Niger (81.7%), and Mozambique (80.5%).[8]
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The distribution of slums within a city varies throughout the world. In most of the developed countries, it is easier to distinguish the slum-areas and non-slum areas. In the United States, slum dwellers are usually in city neighborhoods and inner suburbs, while in Europe, they are more common in high rise housing on the urban outskirts. In many developing countries, slums are prevalent as distributed pockets or as urban orbits of densely constructed informal settlements.[272] In some cities, especially in countries in Southern Asia and Sub-Saharan Africa, slums are not just marginalized neighborhoods holding a small population; slums are widespread, and are home to a large part of urban population. These are sometimes called slum cities.[274]
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The percentage of developing world's urban population living in slums has been dropping with economic development, even while total urban population has been increasing. In 1990, 46 percent of the urban population lived in slums; by 2000, the percentage had dropped to 39%; which further dropped to 32% by 2010.[275]
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A tractor is an engineering vehicle specifically designed to deliver a high tractive effort (or torque) at slow speeds, for the purposes of hauling a trailer or machinery such as that used in agriculture or construction. Most commonly, the term is used to describe a farm vehicle that provides the power and traction to mechanize agricultural tasks, especially (and originally) tillage, but nowadays a great variety of tasks. Agricultural implements may be towed behind or mounted on the tractor, and the tractor may also provide a source of power if the implement is mechanised.
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The word tractor was taken from Latin, being the agent noun of trahere "to pull".[2][3] The first recorded use of the word meaning "an engine or vehicle for pulling wagons or ploughs" occurred in 1896, from the earlier term "traction engine" (1859).[4]
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In the UK, the Republic of Ireland, Australia, India, Spain, Argentina, Slovenia, Serbia, Croatia, the Netherlands, and Germany, the word "tractor" usually means "farm tractor", and the use of the word "tractor" to mean other types of vehicles is familiar to the vehicle trade, but unfamiliar to much of the general public. In Canada and the US, the word may also refer to the road tractor portion of a tractor trailer truck, but also usually refers to the piece of farm equipment.
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The first powered farm implements in the early 19th century were portable engines – steam engines on wheels that could be used to drive mechanical farm machinery by way of a flexible belt. Richard Trevithick designed the first 'semi-portable' stationary steam engine for agricultural use, known as a "barn engine" in 1812, and it was used to drive a corn threshing machine.[5] The truly portable engine was invented in 1893 by William Tuxford of Boston, Lincolnshire who started manufacture of an engine built around a locomotive-style boiler with horizontal smoke tubes. A large flywheel was mounted on the crankshaft, and a stout leather belt was used to transfer the drive to the equipment being driven. In the 1850s, John Fowler used a Clayton & Shuttleworth portable engine to drive apparatus in the first public demonstrations of the application of cable haulage to cultivation.
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In parallel with the early portable engine development, many engineers attempted to make them self-propelled – the fore-runners of the traction engine. In most cases this was achieved by fitting a sprocket on the end of the crankshaft, and running a chain from this to a larger sprocket on the rear axle. These experiments met with mixed success.[6] The first proper traction engine, in the form recognisable today, was developed in 1859 when British engineer Thomas Aveling modified a Clayton & Shuttleworth portable engine, which had to be hauled from job to job by horses, into a self-propelled one. The alteration was made by fitting a long driving chain between the crankshaft and the rear axle.[7]
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The first half of the 1860s was a period of great experimentation but by the end of the decade the standard form of the traction engine had evolved and would change little over the next sixty years. It was widely adopted for agricultural use. The first tractors were steam-powered plowing engines. They were used in pairs, placed on either side of a field to haul a plow back and forth between them using a wire cable. In Britain Mann's and Garrett developed steam tractors for direct ploughing, but the heavy, wet soil of England meant that these designs were less economical than a team of horses. In the United States, where soil conditions permitted, steam tractors were used to direct-haul plows. Steam-powered agricultural engines remained in use well into the 20th century until reliable internal combustion engines had been developed.[8]
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In 1892, John Froelich invented and built the first gasoline/petrol-powered tractor in Clayton County, Iowa, US.[9][10][11] A Van Duzen single-cylinder gasoline engine was mounted on a Robinson engine chassis, which could be controlled and propelled by Froelich's gear box.[12] After receiving a patent, Froelich started up the Waterloo Gasoline Engine Company and invested all of his assets. However, the venture was very unsuccessful, and by 1895 all was lost and he went out of business.[13][14][15][16]
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Richard Hornsby & Sons are credited with producing and selling the first oil-engined tractor in Britain invented by Herbert Akroyd Stuart. The Hornsby-Akroyd Patent Safety Oil Traction Engine was made in 1896 with a 20 hp engine. In 1897, it was bought by Mr. Locke-King, and this is the first recorded sale of a tractor in Britain. Also in that year, the tractor won a Silver Medal of the Royal Agricultural Society of England. That tractor would later be returned to the factory and fitted with a caterpillar track.
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The first commercially successful light-weight petrol-powered general purpose tractor was built by Dan Albone, a British inventor in 1901.[17][18] He filed for a patent on 15 February 1902 for his tractor design and then formed Ivel Agricultural Motors Limited. The other directors were Selwyn Edge, Charles Jarrott, John Hewitt and Lord Willoughby. He called his machine the Ivel Agricultural Motor; the word "tractor" did not come into common use until later. The Ivel Agricultural Motor was light, powerful and compact. It had one front wheel, with a solid rubber tyre, and two large rear wheels like a modern tractor. The engine used water cooling, by evaporation. It had one forward and one reverse gear. A pulley wheel on the left hand side allowed it to be used as a stationary engine, driving a wide range of agricultural machinery. The 1903 sale price was £300. His tractor won a medal at the Royal Agricultural Show, in 1903 and 1904. About 500 were built, and many were exported all over the world.[19] The original engine was made by Payne & Co. of Coventry. After 1906, French Aster engines were used.
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The first successful American tractor was built by Charles W. Hart and Charles H. Parr. They developed a two-cylinder gasoline engine and set up their business in Charles City, Iowa. In 1903, the firm built 15 tractors. Their 14,000-pound #3 is the oldest surviving internal combustion engine tractor in the United States, and is on display at the Smithsonian National Museum of American History in Washington, D.C. The two-cylinder engine has a unique hit-and-miss firing cycle that produced 30 horsepower at the belt and 18 at the drawbar.[20]
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In 1908, the Saunderson Tractor and Implement Co. of Bedford introduced a four-wheel design, and went on to become the largest tractor manufacturer in Britain at the time. While the earlier, heavier tractors were initially very successful, it became increasingly apparent at this time that the weight of a large supporting frame was less efficient than lighter designs. Henry Ford introduced a light-weight, mass-produced design which largely displaced the heavier designs. Some companies halfheartedly followed suit with mediocre designs, as if to disprove the concept, but they were largely unsuccessful in that endeavor.[21]
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While unpopular at first, these gasoline-powered machines began to catch on in the 1910s, when they became smaller and more affordable.[22] Henry Ford introduced the Fordson, a wildly popular mass-produced tractor, in 1917. They were built in the U.S., Ireland, England and Russia, and by 1923, Fordson had 77% of the U.S. market. The Fordson dispensed with a frame, using the strength of the engine block to hold the machine together. By the 1920s, tractors with gasoline-powered internal combustion engines had become the norm.
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The first three-point hitches were experimented with in 1917, however it was not until Harry Ferguson applied for a British patent for his three-point hitch in 1926 that they became popular. a three-point attachment of the implement to the tractor and the simplest and the only statically determinate way of joining two bodies in engineering. The Ferguson-Brown Company produced the Model A Ferguson-Brown tractor with a Ferguson-designed hydraulic hitch. In 1938 Ferguson entered into a collaboration with Henry Ford to produce the Ford-Ferguson 9N tractor. The three-point hitch soon became the favorite hitch attachment system among farmers around the world. This tractor model also included a rear Power Take Off (PTO) shaft that could be used to power three point hitch mounted implements such as sickle-bar mowers. This PTO location set the standard for future tractor developments.
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Tractors can be generally classified by number of axles or wheels, with main categories of two-wheel tractors (single-axle tractors) and four-wheel tractors (two-axle tractors); more axles are possible but uncommon. Among four-wheel tractors (two-axle tractors), most are two-wheel drive (usually at the rear); but many are two-wheel drive with front wheel assist, four-wheel drive (often with articulated steering), or track tractors (with steel or rubber tracks).
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The classic farm tractor is a simple open vehicle, with two very large driving wheels on an axle below and slightly behind a single seat (the seat and steering wheel consequently are in the center), and the engine in front of the driver, with two steerable wheels below the engine compartment. This basic design has remained unchanged for a number of years, but enclosed cabs are fitted on almost all modern models, for reasons of operator safety and comfort.
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In some localities with heavy or wet soils, notably in the Central Valley of California, the "Caterpillar" or "crawler" type of tracked tractor became popular in the 1930s, due to superior traction and flotation. These were usually maneuvered through the use of turning brake pedals and separate track clutches operated by levers rather than a steering wheel.
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Four-wheel drive tractors began to appear in the 1960s. Some four-wheel drive tractors have the standard "two large, two small" configuration typical of smaller tractors, while some have four large, powered wheels. The larger tractors are typically an articulated, center-hinged design steered by hydraulic cylinders that move the forward power unit while the trailing unit is not steered separately.
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In the early 21st century, articulated or non-articulated, steerable multitrack tractors have largely supplanted the Caterpillar type for farm use. Larger types of modern farm tractors include articulated four-wheel or eight-wheel drive units with one or two power units which are hinged in the middle and steered by hydraulic clutches or pumps. A relatively recent development is the replacement of wheels or steel crawler-type tracks with flexible, steel-reinforced rubber tracks, usually powered by hydrostatic or completely hydraulic driving mechanisms. The configuration of these tractors bears little resemblance to the classic farm tractor design.
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The predecessors of modern tractors, traction engines, used steam engines for power.
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Since the turn of the 20th century, internal combustion engines have been the power source of choice. Between 1900 and 1960, gasoline was the predominant fuel, with kerosene (the Rumely Oil Pull was the most notable of this kind) and ethanol being common alternatives. Generally, one engine could burn any of those, although cold starting was easiest on gasoline. Often, a small auxiliary fuel tank was available to hold gasoline for cold starting and warm-up, while the main fuel tank held whatever fuel was most convenient or least expensive for the particular farmer. In the United Kingdom, a gasoline-kerosene engine is known as a petrol-paraffin engine.
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Dieselisation gained momentum starting in the 1960s, and modern farm tractors usually employ diesel engines, which range in power output from 18 to 575 horsepower (15 to 480 kW). Size and output are dependent on application, with smaller tractors used for lawn mowing, landscaping, orchard work, and truck farming, and larger tractors for vast fields of wheat, maize, soy, and other bulk crops.
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Liquefied petroleum gas (LPG) or propane also have been used as tractor fuels, but require special pressurized fuel tanks and filling equipment, so are less prevalent in most markets.
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In some countries such as Germany, biodiesel is often used.[23][24] Some other biofuels such as straight vegetable oil are also being used by some farmers.[25][26]
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Most older farm tractors use a manual transmission with several gear ratios, typically three to six, sometimes multiplied into two or three ranges. This arrangement provides a set of discrete ratios that, combined with the varying of the throttle, allow final-drive speeds from less than one up to about 25 miles per hour (40 km/h), with the lower speeds used for working the land and the highest speed used on the road.
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Slow, controllable speeds are necessary for most of the operations performed with a tractor. They help give the farmer a larger degree of control in certain situations, such as field work. However, when travelling on public roads, the slow operating speeds can cause problems, such as long queues or tailbacks, which can delay or annoy motorists in cars and trucks. These motorists are responsible for being duly careful around farm tractors and sharing the road with them, but many shirk this responsibility, so various ways to minimize the interaction or minimize the speed differential are employed where feasible. Some countries (for example the Netherlands) employ a road sign on some roads that means "no farm tractors". Some modern tractors, such as the JCB Fastrac, are now capable of much higher road speeds of around 50 mph (80 km/h).
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Older tractors usually have unsynchronized transmission designs, which often require the operator stop the tractor to shift between gears. This mode of use is inherently unsuited to some of the work tractors do, and has been circumvented in various ways over the years. For existing unsynchronized tractors, the methods of circumvention are double clutching or power-shifting, both of which require the operator to rely on skill to speed-match the gears while shifting, and are undesirable from a risk-mitigation standpoint because of what can go wrong if the operator makes a mistake – transmission damage is possible, and loss of vehicle control can occur if the tractor is towing a heavy load either uphill or downhill – something that tractors often do. Therefore, operator's manuals for most of these tractors state one must always stop the tractor before shifting, and they do not even mention the alternatives. As already said, that mode of use is inherently unsuited to some of the work tractors do, so better options were pursued for newer tractor designs.
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In these, unsynchronized transmission designs were replaced with synchronization or with continuously variable transmissions (CVTs). Either a synchronized manual transmission with enough available gear ratios (often achieved with dual ranges, high and low) or a CVT allow the engine speed to be matched to the desired final-drive speed, while keeping engine speed within the appropriate speed (as measured in rotations per minute or rpm) range for power generation (the working range) (whereas throttling back to achieve the desired final-drive speed is a trade-off that leaves the working range). The problems, solutions, and developments described here also describe the history of transmission evolution in semi-trailer trucks. The biggest difference is fleet turnover; whereas most of the old road tractors have long since been scrapped, many of the old farm tractors are still in use. Therefore, old transmission design and operation is primarily just of historical interest in trucking, whereas in farming it still often affects daily life.
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The power produced by the engine must be transmitted to the implement or equipment to do the actual work intended for the equipment. This may be accomplished via a drawbar or hitch system if the implement is to be towed or otherwise pulled through the tractive power of the engine, or via a pulley or power takeoff system if the implement is stationary, or a combination of the two.
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Until the 1940s, plows and other tillage equipment usually were connected to the tractor via a drawbar. The classic drawbar is simply a steel bar attached to the tractor (or in some cases, as in the early Fordsons, cast as part of the rear transmission housing) to which the hitch of the implement was attached with a pin or by a loop and clevis. The implement could be readily attached and removed, allowing the tractor to be used for other purposes on a daily basis. If the tractor was equipped with a swinging drawbar, then it could be set at the center or offset from center to allow the tractor to run outside the path of the implement.
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The drawbar system necessitated the implement having its own running gear (usually wheels) and in the case of a plow, chisel cultivator or harrow, some sort of lift mechanism to raise it out of the ground at turns or for transport. Drawbars necessarily posed a rollover risk depending on how the tractive torque was applied.[27] The Fordson tractor (of which more units were produced and placed in service than any other farm tractor) was extremely prone to roll over backwards due to an excessively short wheelbase. The linkage between the implement and the tractor usually had some slack which could lead to jerky starts and greater wear and tear on the tractor and the equipment.
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Drawbars were appropriate to the dawn of mechanization, because they were very simple in concept and because as the tractor replaced the horse, existing horse-drawn implements usually already had running gear. As the history of mechanization progressed, however, the advantages of other hitching systems became apparent, leading to new developments (see below). Depending on the function for which a tractor is used, though, the drawbar is still one of the usual means of attaching an implement to a tractor (see photo at left).
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Some tractor manufacturers produced matching equipment that could be directly mounted on the tractor. Examples included front-end loaders, belly mowers, row crop cultivators, corn pickers and corn planters. In most cases, these fixed mounts were proprietary and unique to each make of tractor, so an implement produced by John Deere, for example, could not be attached to a Minneapolis Moline tractor. Another disadvantage was mounting usually required some time and labor, resulting in the implement being semi-permanently attached with bolts or other mounting hardware. Usually, it was impractical to remove the implement and reinstall it on a day-to-day basis. As a result, the tractor was unavailable for other uses and dedicated to a single use for an appreciable period of time. An implement generally would be mounted at the beginning of its season of use (such as tillage, planting or harvesting) and removed only when the likely use season had ended.
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The drawbar system was virtually the exclusive method of attaching implements (other than direct attachment to the tractor) before Harry Ferguson developed the three-point hitch. Equipment attached to the three-point hitch can be raised or lowered hydraulically with a control lever. The equipment attached to the three-point hitch is usually completely supported by the tractor. Another way to attach an implement is via a quick hitch, which is attached to the three-point hitch. This enables a single person to attach an implement quicker and put the person in less danger when attaching the implement.
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The three-point hitch revolutionized farm tractors and their implements. While the Ferguson system was still under patent, other manufacturers developed new hitching systems to try to fend off some of Ferguson's competitive advantage. For example, International Harvester's Farmall tractors gained a two-point "Fast Hitch", and John Deere had a power lift that was similar to, but not as flexible as, the Ferguson invention. Once the patent protection expired on the three-point hitch, it became an industry standard.
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Almost every tractor today features Ferguson's three-point linkage or a derivative of it. This hitch allows for easy attachment and detachment of implements while allowing the implement to function as a part of the tractor, almost as if it were attached by a fixed mount. Previously, when the implement hit an obstacle, the towing link would break or the tractor could flip over. Ferguson's genius was to combine a connection via two lower and one upper lift arms that were connected to a hydraulic lifting ram. The ram was, in turn, connected to the upper of the three links so the increased drag (as when a plough hits a rock) caused the hydraulics to lift the implement until the obstacle was passed.
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Recently, Bobcat's patent on its front loader connection (inspired by these earlier systems) has expired, and compact tractors are now being outfitted with quick-connect attachments for their front-end loaders.
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In addition to towing an implement or supplying tractive power through the wheels, most tractors have a means to transfer power to another machine such as a baler, swather, or mower. Unless it functions solely by pulling it through or over the ground, a towed implement needs its own power source (such as a baler or combine with a separate engine) or else a means of transmitting power from the tractor to the mechanical operations of the equipment.
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Early tractors used belts or cables wrapped around the flywheel or a separate belt pulley to power stationary equipment, such as a threshing machine, buzz saw, silage blower, or stationary baler. In most cases, it was not practical for the tractor and equipment to move with a flexible belt or cable between them, so this system required the tractor to remain in one location, with the work brought to the equipment, or the tractor to be relocated at each turn and the power set-up reapplied (as in cable-drawn plowing systems used in early steam tractor operations).
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Modern tractors use a power take-off (PTO) shaft to provide rotary power to machinery that may be stationary or pulled. The PTO shaft generally is at the rear of the tractor, and can be connected to an implement that is either towed by a drawbar or a three-point hitch. This eliminates the need for a separate, implement-mounted power source, which is almost never seen in modern farm equipment. It is also optional to get a front PTO as well when buying a new tractor.
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Virtually all modern tractors can also provide external hydraulic fluid and electrical power to the equipment they are towing, either by hoses or wires.
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Modern tractors have many electrical switches and levers in the cab for controlling the multitude of different functions available on the tractor.
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Modern farm tractors usually have four or five foot-pedals for the operator on the floor of the tractor.
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The pedal on the left is the clutch. The operator presses on this pedal to disengage the transmission for either shifting gears or stopping the tractor. Some modern tractors have (or as optional equipment) a button on the gear stick for controlling the clutch, in addition to the standard pedal.
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Two of the pedals on the right are the brakes. The left brake pedal stops the left rear wheel and the right brake pedal does the same with the right side. This independent left and right wheel-braking augments the steering of the tractor when only the two rear wheels are driven. This is usually done when it is necessary to make a sharp turn. The split brake pedal is also used in mud or soft soil to control a tire spinning due to loss of traction. The operator presses both pedals together to stop the tractor. Usually a swinging or sliding bolt is provided to lock the two together when desired.
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The pedal furthest to the right is the foot throttle. Unlike in automobiles, it can also be controlled from a hand-operated lever ("hand throttle"). This helps provide a constant speed in field work. It also helps provide continuous power for stationary tractors that are operating an implement by shaft or belt. The foot throttle gives the operator more automobile-like control over the speed of the tractor for road work. This is a feature of more recent tractors; older tractors often did not have it. In the UK, foot pedal use to control engine speed while travelling on the road is mandatory. Some tractors, especially those designed for row-crop work, have a 'de-accelerator' pedal, which operates in the reverse fashion to an automobile throttle, in that the pedal is pushed down to slow the engine. This allows fine control over the speed of the tractor when maneuvering at the end of crop rows in fields – the operating speed of the engine is set using the hand throttle, and to slow the tractor to turn, the operator simply has to press the pedal, and turn and release it once the turn is completed, rather than having to alter the setting of the hand throttle twice during the maneuver.
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A fifth pedal is traditionally included just in front of the driver's seat (often pressed with the operator's heel) to operate the rear differential lock (diff-lock), which prevents wheel slip. The differential normally allows the outside wheel to travel faster than the inside wheel during a turn. However, in low-traction conditions on a soft surface, the same mechanism could allow one wheel to slip, further reducing traction. The diff-lock overrides this, forcing both wheels to turn at the same speed, reducing wheel slip and improving traction. Care must be taken to unlock the differential before turning, usually by hitting the pedal a second time, since the tractor with good traction cannot perform a turn with the diff-lock engaged. In modern tractors, this pedal is replaced with an electrical switch.
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Many functions once controlled with levers have been replaced with some model of electrical switch with the rise of indirect computer controlling of functions in modern tractors.
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Until the beginning of the 1960s, tractors had a single register of gears, hence one gear stick, often with three to five forward gears and one reverse. Then, group gears were introduced, and another gear stick was added. Later, control of the forward-reverse direction was moved to a special stick attached at the side of the steering wheel, which allowed forward or reverse travel in any gear. Nowadays, with CVTs or other clutch-free gear types, fewer sticks control the transmission, and some are replaced with electrical switches or are totally computer-controlled.
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The three-point hitch was controlled with a lever for adjusting the position, or as with the earliest ones, just the function for raising or lowering the hitch. With modern electrical systems, it is often replaced with a potentiometer for the lower bound position and another one for the upper bound, and a switch allowing automatic adjustment of the hitch between these settings.
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The external hydraulics also originally had levers, but now are often replaced with some form of electrical switch; the same is true for the power take-off shaft.
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Agriculture in the United States is one of the most hazardous industries, only surpassed
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by mining and construction. No other farm machine is so identified with the hazards of production agriculture as the tractor.[28] Tractor-related injuries account for approximately 32% of the fatalities and 6% of the nonfatal injuries in agriculture. Over 50% is attributed to tractor overturns.[29]
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The roll-over protection structure (ROPS) and seat belt, when worn,[30] are the most important safety devices to protect operators from death during tractor overturns.[31][32]
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Modern tractors have a ROPS to prevent an operator from being crushed if the tractor turns over. The ROPS does not prevent tractor overturns; rather, it prevents the operator from being crushed during an overturn.[33] This is especially important in open-air tractors, where the ROPS is a steel beam that extends above the operator's seat. For tractors with operator cabs, the ROPS is part
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of the frame of the cab. A ROPS with enclosed cab further reduces the likelihood of serious injury because the operator is protected by the sides and windows of the cab.
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These structures were first required by legislation in Sweden in 1959. Before they were required, some farmers died when their tractors rolled on top of them. Row-crop tractors, before ROPS, were particularly dangerous because of their 'tricycle' design with the two front wheels spaced close together and angled inward toward the ground. Some farmers were killed by rollovers while operating tractors along steep slopes. Others have been killed while attempting to tow or pull an excessive load from above axle height, or when cold weather caused the tires to freeze to the ground, in both cases causing the tractor to pivot around the rear axle.[28] ROPS were first required in the United States in 1986, but this requirement did not retroactively apply to tractors produced before this year; therefore, adoption of ROPS has been incomplete in the farming community. To combat this problem, CROPS (cost-effective roll-over protection structures) have been developed to encourage farmers to retrofit older tractors.[32]
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For the ROPS to work as designed, the operator must stay within its protective frame. This means the operator must wear the seat belt; not wearing it may defeat the primary purpose of the ROPS.
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The most common use of the term "tractor" is for the vehicles used on farms. The farm tractor is used for pulling or pushing agricultural machinery or trailers, for plowing, tilling, disking, harrowing, planting, and similar tasks.
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A variety of specialty farm tractors have been developed for particular uses. These include "row crop" tractors with adjustable tread width to allow the tractor to pass down rows of cereals, maize, tomatoes or other crops without crushing the plants, "wheatland" or "standard" tractors with fixed wheels and a lower center of gravity for plowing and other heavy field work for broadcast crops, and "high crop" tractors with adjustable tread and increased ground clearance, often used in the cultivation of cotton and other high-growing row crop plant operations, and "utility tractors", typically smaller tractors with a low center of gravity and short turning radius, used for general purposes around the farmstead. Many utility tractors are used for nonfarm grading, landscape maintenance and excavation purposes, particularly with loaders, backhoes, pallet forks and similar devices. Small garden or lawn tractors designed for suburban and semirural gardening and landscape maintenance also exist in a variety of configurations.
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Some farm-type tractors are found elsewhere than on farms: with large universities' gardening departments, in public parks, or for highway workman use with blowtorch cylinders strapped to the sides and a pneumatic drill air compressor permanently fastened over the power take-off. These are often fitted with grass (turf) tyres which are less damaging to soft surfaces than agricultural tires.
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Space technology has been incorporated into agriculture in the form of GPS devices, and robust on-board computers installed as optional features on farm tractors. These technologies are used in modern, precision farming techniques. The spin-offs from the space race have actually facilitated automation in plowing and the use of autosteer systems (drone on tractors that are manned but only steered at the end of a row), the idea being to neither overlap and use more fuel nor leave streaks when performing jobs such as cultivating. Several tractor companies have also been working on producing a driverless tractor.
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The durability and engine power of tractors made them very suitable for engineering tasks. Tractors can be fitted with engineering tools such as dozer blades, buckets, hoes, rippers, etc. The most common attachments for the front of a tractor are dozer blades or buckets. When attached to engineering tools, the tractor is called an engineering vehicle.
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A bulldozer is a track-type tractor with a blade attached in the front and a rope-winch behind. Bulldozers are very powerful tractors and have excellent ground-hold, as their main tasks are to push or drag.
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Bulldozers have been further modified over time to evolve into new machines which are capable of working in ways that the original bulldozer can not. One example is that loader tractors were created by removing the blade and substituting a large volume bucket and hydraulic arms which can raise and lower the bucket, thus making it useful for scooping up earth, rock and similar loose material to load it into trucks.
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A front-loader or loader is a tractor with an engineering tool which consists of two hydraulic powered arms on either side of the front engine compartment and a tilting implement. This is usually a wide-open box called a bucket, but other common attachments are a pallet fork and a bale grappler.
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Other modifications to the original bulldozer include making the machine smaller to let it operate in small work areas where movement is limited. Also, tiny wheeled loaders, officially called skid-steer loaders, but nicknamed "Bobcat" after the original manufacturer, are particularly suited for small excavation projects in confined areas.
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The most common variation of the classic farm tractor is the backhoe, also called a backhoe-loader. As the name implies, it has a loader assembly on the front and a backhoe on the back. Backhoes attach to a three-point hitch on farm or industrial tractors. Industrial tractors are often heavier in construction, particularly with regards to the use of a steel grill for protection from rocks and the use of construction tires. When the backhoe is permanently attached, the machine usually has a seat that can swivel to the rear to face the hoe controls. Removable backhoe attachments almost always have a separate seat on the attachment.
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Backhoe-loaders are very common and can be used for a wide variety of tasks: construction, small demolitions, light transportation of building materials, powering building equipment, digging holes, loading trucks, breaking asphalt and paving roads. Some buckets have retractable bottoms, enabling them to empty their loads more quickly and efficiently. Buckets with retractable bottoms are also often used for grading and scratching off sand. The front assembly may be a removable attachment or permanently mounted. Often the bucket can be replaced with other devices or tools.
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Their relatively small frames and precise controls make backhoe-loaders very useful and common in urban engineering projects, such as construction and repairs in areas too small for larger equipment. Their versatility and compact size make them one of the most popular urban construction vehicles.
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In the UK and Ireland, the word "JCB" is used colloquially as a genericized trademark for any such type of engineering vehicle. The term JCB now appears in the Oxford English Dictionary, although it is still legally a trademark of J. C. Bamford Ltd. The term "digger" is also commonly used.
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A compact utility tractor (CUT) is a smaller version of an agricultural tractor, but designed primarily for landscaping and estate management tasks rather than for planting and harvesting on a commercial scale. Typical CUTs range from {convert|20 - 50|hp|kW|1}} with available power take-off (PTO) horsepower ranging from 15–45 horsepower (11.2–33.6 kW). CUTs are often equipped with both a mid-mounted and a standard rear PTO, especially those below 40 horsepower (29.8 kW). The mid-mount PTO shaft typically rotates at/near 2000 rpm and is typically used to power mid-mount finish mowers, front-mounted snow blowers or front-mounted rotary brooms. The rear PTO is standardized at 540 rpm for the North American markets, but in some parts of the world, a dual 540/1000 rpm PTO is standard, and implements are available for either standard in those markets.
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One of the most common attachment for a CUT is the front-end loader or FEL. Like the larger agricultural tractors, a CUT will have an adjustable, hydraulically controlled three-point hitch. Typically, a CUT will have four-wheel drive, or more correctly four-wheel assist. Modern CUTs often feature hydrostatic transmissions, but many variants of gear-drive transmissions are also offered from low priced, simple gear transmissions to synchronized transmissions to advanced glide-shift transmissions. All modern CUTs feature government-mandated roll over protection structures just like agricultural tractors. The most well-known brands in North America include Kubota, John Deere Tractor, New Holland Ag, Case-Farmall and Massey-Ferguson. Although less common, compact backhoes are often attached to compact utility tractors.
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Compact utility tractors require special, smaller implements than full-sized agricultural tractors. Very common implements include the box blade, the grader blade, the landscape rake, the post hole digger (or post hole auger), the rotary cutter (slasher or a brush hog), a mid- or rear-mount finish mower, a broadcast seeder, a subsoiler and the rototiller (rotary tiller). In northern climates, a rear-mounted snow blower is very common; some smaller CUT models are available with front-mounted snow blowers powered by mid-PTO shafts. Implement brands outnumber tractor brands, so CUT owners have a wide selection of implements.
|
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For small-scale farming or large-scale gardening, some planting and harvesting implements are sized for CUTs. One- and two-row planting units are commonly available, as are cultivators, sprayers and different types of seeders (slit, rotary and drop). One of the first CUTs offered for small farms of three to 30 acres and for small jobs on larger farms was a three-wheeled unit, with the rear wheel being the drive wheel, offered by Sears & Roebuck in 1954 and priced at $598 for the basic model.[34]
|
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The earliest tractors were called "standard" tractors, and were intended almost solely for plowing and harrowing before planting, which were difficult tasks for humans and draft animals. They were characterized by a low, rearward seating position, fixed-width tread, and low ground clearance. These early tractors were cumbersome, and were not well-suited to getting into a field of already-planted row crops to do weed control. The "standard" tractor definition is no longer in current use.
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A general-purpose or row-crop tractor is tailored specifically to the growing of crops grown in rows, and most especially to cultivating these crops. These tractors are universal machines, capable of both primary tillage and cultivation of a crop. The "row-crop" or "general-purpose" designation is no longer in current use.
|
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The row-crop tractor category evolved rather than appearing overnight, but the International Harvester (IH) Farmall is often considered the "first" tractor of the category. Some earlier tractors of the 1910s and 1920s approached the form factor from the heavier side, as did motorized cultivators from the lighter side, but the Farmall brought all of the salient features together into one package, with a capable distribution network to ensure its commercial success. In the new form factor that the Farmall popularized, the cultivator was mounted in the front so it was easily visible. Additionally, the tractor had a narrow front end; the front tires were spaced very closely and angled in towards the bottom. The back wheels straddled two rows, and the unit could cultivate four rows at once.
|
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|
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From 1924 until 1963, Farmalls were the largest selling row-crop tractors.
|
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To compete, John Deere designed the Model C, which had a wide front and could cultivate three rows at once. Only 112 prototypes were made, as Deere realized sales would be lost to Farmall if their model did less. In 1928, Deere released the Model C anyway, only as the Model GP (General Purpose) to avoid confusion with the Model D when ordered over the then unclear telephone.[35]
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Oliver refined its "Row Crop" model early in 1930.[36] Until 1935, the 18–27 was Oliver–Hart-Parr's only row-crop tractor.[37]
|
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Many Oliver row-crop models are referred to as "Oliver Row Crop 77", "Oliver Row Crop 88", etc.
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Many early row-crop tractors had a tricycle design with two closely spaced front tires, and some even had a single front tire. This made it dangerous to operate on the side of a steep hill; as a result, many farmers died from tractor rollovers. Also, early row-crop tractors had no rollover protection system (ROPS), meaning if the tractor flipped back, the operator could be crushed. Sweden was the first country which passed legislation requiring ROPS, in 1959.
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Over 50% of tractor related injuries and deaths are attributed to tractor rollover.[29]
|
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Canadian agricultural equipment manufacturer Versatile makes row-crop tractors that are 265 to 365 horsepower (198 to 272 kW); powered by an 8.9 liter Cummins Diesel engine.[38][39]
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Case IH and New Holland of CNH Industrial both produce high horsepower front-wheel-assist row crop tractors with available rear tracks.[40] Case IH also has a 500 hp (373 kW) four-wheel drive track system called Rowtrac.[41]
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|
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John Deere has an extensive line of available row crop tractors ranging from 140 to 400 horsepower (104 to 298 kW).[42]
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Modern row crop tractors have rollover protection systems in the form of a reinforced cab or a roll bar.
|
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Garden tractors (mini tractors) are small, light tractors designed for use in domestic gardens and small estates. Garden tractors are designed for cutting grass, snow removal, and small property cultivation. In the U.S., the term riding lawn mower today often is used to refer to mid- or rear-engined machines. Front-engined tractor layout machines designed primarily for cutting grass and light towing are called lawn tractors; heavier-duty tractors of similar size are garden tractors. Garden tractors are capable of mounting a wider array of attachments than lawn tractors. Unlike lawn tractors and rear-engined riding mowers, garden tractors are powered by horizontal-crankshaft engines with a belt-drive to transaxle-type transmissions (usually of four or five speeds, although some may also have two-speed reduction gearboxes, drive-shafts, or hydrostatic or hydraulic drives). Garden tractors from Wheel Horse, Cub Cadet, Economy (Power King), John Deere, Massey Ferguson and Case Ingersoll are built in this manner. The engines are generally one- or two-cylinder petrol (gasoline) engines, although diesel engine models are also available, especially in Europe. Typically, diesel-powered garden tractors are larger and heavier-duty than gasoline-powered units and compare more similarly to compact utility tractors.
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Visually, the distinction between a garden tractor and a lawn tractor is often hard to make – generally, garden tractors are more sturdily built, with stronger frames, 12-inch or larger wheels mounted with multiple lugs (most lawn tractors have a single bolt or clip on the hub), heavier transaxles, and ability to accommodate a wide range of front, belly, and rear mounted attachments.
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Although most people think first of four-wheel vehicles when they think of tractors, a tractor may have one or more axles. The key benefit is the power itself, which only takes one axle to provide. Single-axle tractors, more often called two-wheel tractors or walk-behind tractors, have had many users since the beginning of internal combustion engine tractors. They tend to be small and affordable. This was especially true before the 1960s, when a walk-behind tractor could often be more affordable than a two-axle tractor of comparable power. Today's compact utility tractors and advanced garden tractors may negate most of that market advantage, but two-wheel tractors still enjoy a loyal following, especially where an already-paid-for two-wheel tractor is financially superior to a compact or garden tractor that would have to be purchased. Countries where two-wheel tractors are especially prevalent today include Thailand, China, Bangladesh, India, and other Southeast Asia countries.
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Tractors tailored to use in fruit orchards typically have features suited to passing under tree branches with impunity. These include a lower overall profile; reduced tree-branch-snagging risk (via underslung exhaust pipes rather than smoke-stack-style exhaust, and large sheetmetal cowlings and fairings that allow branches to deflect and slide off rather than catch); spark arrestors on the exhaust tips; and often wire cages to protect the operator from snags.
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The ingenuity of farm mechanics, coupled in some cases with OEM or aftermarket assistance, has often resulted in the conversion of automobiles for use as farm tractors. In the United States, this trend was especially strong from the 1910s through 1950s. It began early in the development of vehicles powered by internal combustion engines, with blacksmiths and amateur mechanics tinkering in their shops. Especially during the interwar period, dozens of manufacturers (Montgomery Ward among them) marketed aftermarket kits for converting Ford Model Ts for use as tractors.[43] (These were sometimes called 'Hoover wagons' during the Great Depression, although this term was usually reserved for automobiles converted to horse-drawn buggy use when gasoline was unavailable or unaffordable. During the same period, another common name was "Doodlebug".) Ford even considered producing an "official" optional kit.[44] Many Model A Fords also were converted for this purpose. In later years, some farm mechanics have been known to convert more modern trucks or cars for use as tractors, more often as curiosities or for recreational purposes (rather than out of the earlier motives of pure necessity or frugality).
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During World War II, a shortage of tractors in Sweden led to the development of the so-called "EPA" tractor (EPA was a chain of discount stores and it was often used to signify something lacking in quality). An EPA tractor was simply an automobile, truck or lorry, with the passenger space cut off behind the front seats, equipped with two gearboxes in a row. When done to an older car with a ladder frame, the result was not dissimilar to a tractor and could be used as one. After the war it remained popular, now not as a farm vehicle, but as a way for young people without a driver's license to own something similar to a car. Since it was legally seen as a tractor, it could be driven from 16 years of age and only required a tractor license. Eventually, the legal loophole was closed and no new EPA tractors were allowed to be made, but the remaining ones were still legal, which led to inflated prices and many protests from people who preferred EPA tractors to ordinary cars.
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The German occupation of Italy during World War II resulted in a severe shortage of mechanized farm equipment. The destruction of tractors was a sort of scorched-earth strategy used to reduce the independence of the conquered. The shortage of tractors in that area of Europe was the origin of Lamborghini. The war was also the inspiration for dual-purpose vehicles such as the Land Rover. Based on the Jeep, the company made a vehicle that combined PTO, tillage, and transportation.
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In March 1975, a similar type of vehicle was introduced in Sweden, the A tractor [from arbetstraktor (work tractor)]; the main difference is an A tractor has a top speed of 30 km/h. This is usually done by fitting two gearboxes in a row and not using one of them. The Volvo Duett was, for a long time, the primary choice for conversion to an EPA or A tractor, but since supplies have dried up, other cars have been used, in most cases another Volvo. The SFRO is a Swedish organization advocating homebuilt and modified vehicles.
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Another type of homemade tractors are ones that are fabricated from scratch. The "from scratch" description is relative, as often individual components will be repurposed from earlier vehicles or machinery (e.g., engines, gearboxes, axle housings), but the tractor's overall chassis is essentially designed and built by the owner (e.g., a frame is welded from bar stock—channel stock, angle stock, flat stock, etc.). As with automobile conversions, the heyday of this type of tractor, at least in developed economies, lies in the past, when there were large populations of blue-collar workers for whom metalworking and farming were prevalent parts of their lives. (For example, many 19th- and 20th-century New England and Midwestern machinists and factory workers had grown up on farms.) Backyard fabrication was a natural activity to them (whereas it might seem daunting to most people today).
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The term "tractor" (US and Canada) or "tractor unit" (UK) is also applied to:
|
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|
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Diesel-electric locomotive at work
|
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|
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A Trackmobile 4150
|
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|
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Aircraft pushback tractor
|
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|
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Road tractor pulling a flatbed trailer
|
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|
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Unimog 70200
|
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|
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Standard Bucket loader - Standard bucket many says it GP bucket also. its common bucket loader used for loading or unloading of material. it also called the JCB Tractor.[45]
|
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|
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Telescopic loader - Telescopic loader arm height is more as compared to the normal loader. The maximum height goes up to 18 meters in standard 60 HP tractor. its generally used for the low weight material but dumping required at a high point. Or we can say it is used for husk material loading & unloading.[45]
|
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|
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Grabbing fork bucket loader - Grabbing fork bucket used where bucket needs to hold that material so the material can’t spill from the bucket. Paper Mill, Cotton Industry, and Scrap or waste collection industry generally use it maximum.[45]
|
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|
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Radial loader - The radial loader has maximum height it used for multi-purpose with different kinds of buckets. Redial Loader bucket can rotate 360 so it will help out those who want to pick the material like wood and load the trucks.[45]
|
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|
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Manure Fork loader - Manure fork loader use for husk kind of item loading. It’s very rarely used in the industry Manure fork loader.[45]
|
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|
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Some of the many tractor manufacturers and brands worldwide include:
|
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|
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In addition to commercial manufacturers, the Open Source Ecology group has developed several working prototypes of an open source hardware tractor called the LifeTrac as part of its Global Village Construction Set.
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|
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An unusual application − road roller powered by a tractor-drive
|
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|
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The First Tractor, a painting by Vladimir Krikhatsky.
|
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A single tractor in Brazil
|
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|
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Tractor that is used for self-sufficiency purposes in Germany
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A scale model of a modern Mahindra tractor in Punjab, India
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|
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Farm tractor in Balnain, Scotland
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Alvin O. Lombard of Waterville, Maine, invented a tractor in 1901 for hauling logs, as displayed at the Maine State Museum in the capital city of Augusta. Known as "Lombard Log Haulers," these vehicles revolutionized logging in Maine.
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|
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Mercedes-Benz tractor
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1 |
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Basketball is a team sport in which two teams, most commonly of five players each, opposing one another on a rectangular court, compete with the primary objective of shooting a basketball (approximately 9.4 inches (24 cm) in diameter) through the defender's hoop (a basket 18 inches (46 cm) in diameter mounted 10 feet (3.048 m) high to a backboard at each end of the court) while preventing the opposing team from shooting through their own hoop. A field goal is worth two points, unless made from behind the three-point line, when it is worth three. After a foul, timed play stops and the player fouled or designated to shoot a technical foul is given one or more one-point free throws. The team with the most points at the end of the game wins, but if regulation play expires with the score tied, an additional period of play (overtime) is mandated.
|
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|
7 |
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Players advance the ball by bouncing it while walking or running (dribbling) or by passing it to a teammate, both of which require considerable skill. On offense, players may use a variety of shots—the lay-up, the jump shot, or a dunk; on defense, they may steal the ball from a dribbler, intercept passes, or block shots; either offense or defense may collect a rebound, that is, a missed shot that bounces from rim or backboard. It is a violation to lift or drag one's pivot foot without dribbling the ball, to carry it, or to hold the ball with both hands then resume dribbling.
|
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|
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The five players on each side fall into five playing positions. The tallest player is usually the center, the second tallest and strongest is the power forward, a slightly shorter but more agile player is the small forward, and the shortest players or the best ball handlers are the shooting guard and the point guard, who implements the coach's game plan by managing the execution of offensive and defensive plays (player positioning). Informally, players may play three-on-three, two-on-two, and one-on-one.
|
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+
|
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+
Invented in 1891 by Canadian-American gym teacher James Naismith in Springfield, Massachusetts, United States, basketball has evolved to become one of the world's most popular and widely viewed sports.[1] The National Basketball Association (NBA) is the most significant professional basketball league in the world in terms of popularity, salaries, talent, and level of competition.[2][3] Outside North America, the top clubs from national leagues qualify to continental championships such as the EuroLeague and the Basketball Champions League Americas. The FIBA Basketball World Cup and Men's Olympic Basketball Tournament are the major international events of the sport and attract top national teams from around the world. Each continent hosts regional competitions for national teams, like EuroBasket and FIBA AmeriCup.
|
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+
|
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The FIBA Women's Basketball World Cup and Women's Olympic Basketball Tournament feature top national teams from continental championships. The main North American league is the WNBA (NCAA Women's Division I Basketball Championship is also popular), whereas strongest European clubs participate in the EuroLeague Women.
|
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|
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In early December 1891, Canadian James Naismith,[4] a physical education professor and instructor at the International Young Men's Christian Association Training School[5] (YMCA) (today, Springfield College) in Springfield, Massachusetts, was trying to keep his gym class active on a rainy day. He sought a vigorous indoor game to keep his students occupied and at proper levels of fitness during the long New England winters. After rejecting other ideas as either too rough or poorly suited to walled-in gymnasiums, he wrote the basic rules and nailed a peach basket onto an elevated track. In contrast with modern basketball nets, this peach basket retained its bottom, and balls had to be retrieved manually after each "basket" or point scored; this proved inefficient, however, so the bottom of the basket was removed, allowing the balls to be poked out with a long dowel each time.
|
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+
|
17 |
+
Basketball was originally played with a soccer ball. These round balls from "association football" were made, at the time, with a set of laces to close off the hole needed for inserting the inflatable bladder after the other sewn-together segments of the ball's cover had been flipped outside-in.[6][7] These laces could cause bounce passes and dribbling to be unpredictable.[8] Eventually a lace-free ball construction method was invented, and this change to the game was endorsed by Naismith. (Whereas in American football, the lace construction proved to be advantageous for gripping and remains to this day.) The first balls made specifically for basketball were brown, and it was only in the late 1950s that Tony Hinkle, searching for a ball that would be more visible to players and spectators alike, introduced the orange ball that is now in common use. Dribbling was not part of the original game except for the "bounce pass" to teammates. Passing the ball was the primary means of ball movement. Dribbling was eventually introduced but limited by the asymmetric shape of early balls.[dubious – discuss] Dribbling was common by 1896, with a rule against the double dribble by 1898.[9]
|
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|
19 |
+
The peach baskets were used until 1906 when they were finally replaced by metal hoops with backboards. A further change was soon made, so the ball merely passed through. Whenever a person got the ball in the basket, his team would gain a point. Whichever team got the most points won the game.[10] The baskets were originally nailed to the mezzanine balcony of the playing court, but this proved impractical when spectators in the balcony began to interfere with shots. The backboard was introduced to prevent this interference; it had the additional effect of allowing rebound shots.[11] Naismith's handwritten diaries, discovered by his granddaughter in early 2006, indicate that he was nervous about the new game he had invented, which incorporated rules from a children's game called duck on a rock, as many had failed before it.
|
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+
|
21 |
+
Frank Mahan, one of the players from the original first game, approached Naismith after the Christmas break, in early 1892, asking him what he intended to call his new game. Naismith replied that he hadn't thought of it because he had been focused on just getting the game started. Mahan suggested that it be called "Naismith ball", at which he laughed, saying that a name like that would kill any game. Mahan then said, "Why not call it basketball?" Naismith replied, "We have a basket and a ball, and it seems to me that would be a good name for it."[12][13] The first official game was played in the YMCA gymnasium in Albany, New York, on January 20, 1892, with nine players. The game ended at 1–0; the shot was made from 25 feet (7.6 m), on a court just half the size of a present-day Streetball or National Basketball Association (NBA) court.
|
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+
|
23 |
+
At the time, football was being played with 10 to a team (which was increased to 11). When winter weather got too icy to play football, teams were taken indoors, and it was convenient to have them split in half and play basketball with five on each side. By 1897–1898 teams of five became standard.
|
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+
|
25 |
+
Basketball's early adherents were dispatched to YMCAs throughout the United States, and it quickly spread through the United States and Canada. By 1895, it was well established at several women's high schools. While YMCA was responsible for initially developing and spreading the game, within a decade it discouraged the new sport, as rough play and rowdy crowds began to detract from YMCA's primary mission. However, other amateur sports clubs, colleges, and professional clubs quickly filled the void. In the years before World War I, the Amateur Athletic Union and the Intercollegiate Athletic Association of the United States (forerunner of the NCAA) vied for control over the rules for the game. The first pro league, the National Basketball League, was formed in 1898 to protect players from exploitation and to promote a less rough game. This league only lasted five years.
|
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+
|
27 |
+
James Naismith was instrumental in establishing college basketball. His colleague C.O. Beamis fielded the first college basketball team just a year after the Springfield YMCA game at the suburban Pittsburgh Geneva College.[14] Naismith himself later coached at the University of Kansas for six years, before handing the reins to renowned coach Forrest "Phog" Allen. Naismith's disciple Amos Alonzo Stagg brought basketball to the University of Chicago, while Adolph Rupp, a student of Naismith's at Kansas, enjoyed great success as coach at the University of Kentucky. On February 9, 1895, the first intercollegiate 5-on-5 game was played at Hamline University between Hamline and the School of Agriculture, which was affiliated with the University of Minnesota.[15][16][17] The School of Agriculture won in a 9–3 game.
|
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+
|
29 |
+
In 1901, colleges, including the University of Chicago, Columbia University, Cornell University, Dartmouth College, the University of Minnesota, the U.S. Naval Academy, the University of Colorado and Yale University began sponsoring men's games. In 1905, frequent injuries on the football field prompted President Theodore Roosevelt to suggest that colleges form a governing body, resulting in the creation of the Intercollegiate Athletic Association of the United States (IAAUS). In 1910, that body would change its name to the National Collegiate Athletic Association (NCAA). The first Canadian interuniversity basketball game was played at YMCA in Kingston, Ontario on February 6, 1904, when McGill University—Naismith's alma mater—visited Queen's University. McGill won 9–7 in overtime; the score was 7–7 at the end of regulation play, and a ten-minute overtime period settled the outcome. A good turnout of spectators watched the game.[18]
|
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+
|
31 |
+
The first men's national championship tournament, the National Association of Intercollegiate Basketball tournament, which still exists as the National Association of Intercollegiate Athletics (NAIA) tournament, was organized in 1937. The first national championship for NCAA teams, the National Invitation Tournament (NIT) in New York, was organized in 1938; the NCAA national tournament would begin one year later. College basketball was rocked by gambling scandals from 1948 to 1951, when dozens of players from top teams were implicated in match fixing and point shaving. Partially spurred by an association with cheating, the NIT lost support to the NCAA tournament.
|
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|
33 |
+
Before widespread school district consolidation, most American high schools were far smaller than their present-day counterparts. During the first decades of the 20th century, basketball quickly became the ideal interscholastic sport due to its modest equipment and personnel requirements. In the days before widespread television coverage of professional and college sports, the popularity of high school basketball was unrivaled in many parts of America. Perhaps the most legendary of high school teams was Indiana's Franklin Wonder Five, which took the nation by storm during the 1920s, dominating Indiana basketball and earning national recognition.
|
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+
|
35 |
+
Today virtually every high school in the United States fields a basketball team in varsity competition.[19] Basketball's popularity remains high, both in rural areas where they carry the identification of the entire community, as well as at some larger schools known for their basketball teams where many players go on to participate at higher levels of competition after graduation. In the 2016–17 season, 980,673 boys and girls represented their schools in interscholastic basketball competition, according to the National Federation of State High School Associations.[20] The states of Illinois, Indiana and Kentucky are particularly well known for their residents' devotion to high school basketball, commonly called Hoosier Hysteria in Indiana; the critically acclaimed film Hoosiers shows high school basketball's depth of meaning to these communities.
|
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|
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There is currently no tournament to determine a national high school champion. The most serious effort was the National Interscholastic Basketball Tournament at the University of Chicago from 1917 to 1930. The event was organized by Amos Alonzo Stagg and sent invitations to state champion teams. The tournament started out as a mostly Midwest affair but grew. In 1929 it had 29 state champions. Faced with opposition from the National Federation of State High School Associations and North Central Association of Colleges and Schools that bore a threat of the schools losing their accreditation the last tournament was in 1930. The organizations said they were concerned that the tournament was being used to recruit professional players from the prep ranks.[21] The tournament did not invite minority schools or private/parochial schools.
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The National Catholic Interscholastic Basketball Tournament ran from 1924 to 1941 at Loyola University.[22] The National Catholic Invitational Basketball Tournament from 1954 to 1978 played at a series of venues, including Catholic University, Georgetown and George Mason.[23] The National Interscholastic Basketball Tournament for Black High Schools was held from 1929 to 1942 at Hampton Institute.[24] The National Invitational Interscholastic Basketball Tournament was held from 1941 to 1967 starting out at Tuskegee Institute. Following a pause during World War II it resumed at Tennessee State College in Nashville. The basis for the champion dwindled after 1954 when Brown v. Board of Education began an integration of schools. The last tournaments were held at Alabama State College from 1964 to 1967.[25]
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Teams abounded throughout the 1920s. There were hundreds of men's professional basketball teams in towns and cities all over the United States, and little organization of the professional game. Players jumped from team to team and teams played in armories and smoky dance halls. Leagues came and went. Barnstorming squads such as the Original Celtics and two all-African American teams, the New York Renaissance Five ("Rens") and the (still existing) Harlem Globetrotters played up to two hundred games a year on their national tours.
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In 1946, the Basketball Association of America (BAA) was formed. The first game was played in Toronto, Ontario, Canada between the Toronto Huskies and New York Knickerbockers on November 1, 1946. Three seasons later, in 1949, the BAA merged with the National Basketball League (NBL) to form the National Basketball Association (NBA). By the 1950s, basketball had become a major college sport, thus paving the way for a growth of interest in professional basketball. In 1959, a basketball hall of fame was founded in Springfield, Massachusetts, site of the first game. Its rosters include the names of great players, coaches, referees and people who have contributed significantly to the development of the game. The hall of fame has people who have accomplished many goals in their career in basketball. An upstart organization, the American Basketball Association, emerged in 1967 and briefly threatened the NBA's dominance until the ABA-NBA merger in 1976. Today the NBA is the top professional basketball league in the world in terms of popularity, salaries, talent, and level of competition.
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The NBA has featured many famous players, including George Mikan, the first dominating "big man"; ball-handling wizard Bob Cousy and defensive genius Bill Russell of the Boston Celtics; charismatic center Wilt Chamberlain, who originally played for the barnstorming Harlem Globetrotters; all-around stars Oscar Robertson and Jerry West; more recent big men Kareem Abdul-Jabbar, Shaquille O'Neal, Hakeem Olajuwon and Karl Malone; playmakers John Stockton, Isiah Thomas and Steve Nash; crowd-pleasing forwards Julius Erving and Charles Barkley; European stars Dirk Nowitzki, Pau Gasol and Tony Parker; more recent superstars LeBron James, Allen Iverson and Kobe Bryant; and the three players who many credit with ushering the professional game to its highest level of popularity during the 1980s and 1990s: Larry Bird, Earvin "Magic" Johnson, and Michael Jordan.
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In 2001, the NBA formed a developmental league, the National Basketball Development League (later known as the NBA D-League and then the NBA G League after a branding deal with Gatorade). As of the 2018–19 season, the G League has 27 teams.
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FIBA (International Basketball Federation) was formed in 1932 by eight founding nations: Argentina, Czechoslovakia, Greece, Italy, Latvia, Portugal, Romania and Switzerland. At this time, the organization only oversaw amateur players. Its acronym, derived from the French Fédération Internationale de Basket-ball Amateur, was thus "FIBA". Men's basketball was first included at the Berlin 1936 Summer Olympics, although a demonstration tournament was held in 1904. The United States defeated Canada in the first final, played outdoors. This competition has usually been dominated by the United States, whose team has won all but three titles. The first of these came in a controversial final game in Munich in 1972 against the Soviet Union, in which the ending of the game was replayed three times until the Soviet Union finally came out on top.[26] In 1950 the first FIBA World Championship for men, now known as the FIBA Basketball World Cup, was held in Argentina. Three years later, the first FIBA World Championship for women, now known as the FIBA Women's Basketball World Cup, was held in Chile. Women's basketball was added to the Olympics in 1976, which were held in Montreal, Quebec, Canada with teams such as the Soviet Union, Brazil and Australia rivaling the American squads.
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In 1989, FIBA allowed professional NBA players to participate in the Olympics for the first time. Prior to the 1992 Summer Olympics, only European and South American teams were allowed to field professionals in the Olympics. The United States' dominance continued with the introduction of the original Dream Team. In the 2004 Athens Olympics, the United States suffered its first Olympic loss while using professional players, falling to Puerto Rico (in a 19-point loss) and Lithuania in group games, and being eliminated in the semifinals by Argentina. It eventually won the bronze medal defeating Lithuania, finishing behind Argentina and Italy. The Redeem Team, won gold at the 2008 Olympics, and the B-Team, won gold at the 2010 FIBA World Championship in Turkey despite featuring no players from the 2008 squad. The United States continued its dominance as they won gold at the 2012 Olympics, 2014 FIBA World Cup and the 2016 Olympics.
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Worldwide, basketball tournaments are held for boys and girls of all age levels. The global popularity of the sport is reflected in the nationalities represented in the NBA. Players from all six inhabited continents currently play in the NBA. Top international players began coming into the NBA in the mid-1990s, including Croatians Dražen Petrović and Toni Kukoč, Serbian Vlade Divac, Lithuanians Arvydas Sabonis and Šarūnas Marčiulionis, Dutchman Rik Smits and German Detlef Schrempf.
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In the Philippines, the Philippine Basketball Association's first game was played on April 9, 1975 at the Araneta Coliseum in Cubao, Quezon City. Philippines. It was founded as a "rebellion" of several teams from the now-defunct Manila Industrial and Commercial Athletic Association, which was tightly controlled by the Basketball Association of the Philippines (now defunct), the then-FIBA recognized national association. Nine teams from the MICAA participated in the league's first season that opened on April 9, 1975. The NBL is Australia's pre-eminent men's professional basketball league. The league commenced in 1979, playing a winter season (April–September) and did so until the completion of the 20th season in 1998. The 1998–99 season, which commenced only months later, was the first season after the shift to the current summer season format (October–April). This shift was an attempt to avoid competing directly against Australia's various football codes. It features 8 teams from around Australia and one in New Zealand. A few players including Luc Longley, Andrew Gaze, Shane Heal, Chris Anstey and Andrew Bogut made it big internationally, becoming poster figures for the sport in Australia. The Women's National Basketball League began in 1981.
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Women's basketball began in 1892 at Smith College when Senda Berenson, a physical education teacher, modified Naismith's rules for women. Shortly after she was hired at Smith, she went to Naismith to learn more about the game.[27] Fascinated by the new sport and the values it could teach, she organized the first women's collegiate basketball game on March 21, 1893, when her Smith freshmen and sophomores played against one another.[28] However, the first women's interinstitutional game was played in 1892 between the University of California and Miss Head's School.[29] Berenson's rules were first published in 1899, and two years later she became the editor of A. G. Spalding's first Women's Basketball Guide.[28] Berenson's freshmen played the sophomore class in the first women's intercollegiate basketball game at Smith College, March 21, 1893.[30] The same year, Mount Holyoke and Sophie Newcomb College (coached by Clara Gregory Baer) women began playing basketball. By 1895, the game had spread to colleges across the country, including Wellesley, Vassar, and Bryn Mawr. The first intercollegiate women's game was on April 4, 1896. Stanford women played Berkeley, 9-on-9, ending in a 2–1 Stanford victory.
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Women's basketball development was more structured than that for men in the early years. In 1905, the Executive Committee on Basket Ball Rules (National Women's Basketball Committee) was created by the American Physical Education Association.[31] These rules called for six to nine players per team and 11 officials. The International Women's Sports Federation (1924) included a women's basketball competition. 37 women's high school varsity basketball or state tournaments were held by 1925. And in 1926, the Amateur Athletic Union backed the first national women's basketball championship, complete with men's rules.[31] The Edmonton Grads, a touring Canadian women's team based in Edmonton, Alberta, operated between 1915 and 1940. The Grads toured all over North America, and were exceptionally successful. They posted a record of 522 wins and only 20 losses over that span, as they met any team that wanted to challenge them, funding their tours from gate receipts.[32] The Grads also shone on several exhibition trips to Europe, and won four consecutive exhibition Olympics tournaments, in 1924, 1928, 1932, and 1936; however, women's basketball was not an official Olympic sport until 1976. The Grads' players were unpaid, and had to remain single. The Grads' style focused on team play, without overly emphasizing skills of individual players. The first women's AAU All-America team was chosen in 1929.[31] Women's industrial leagues sprang up throughout the United States, producing famous athletes, including Babe Didrikson of the Golden Cyclones, and the All American Red Heads Team, which competed against men's teams, using men's rules. By 1938, the women's national championship changed from a three-court game to two-court game with six players per team.[31]
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The NBA-backed Women's National Basketball Association (WNBA) began in 1997. Though it had shaky attendance figures, several marquee players (Lisa Leslie, Diana Taurasi, and Candace Parker among others) have helped the league's popularity and level of competition. Other professional women's basketball leagues in the United States, such as the American Basketball League (1996–98), have folded in part because of the popularity of the WNBA. The WNBA has been looked at by many as a niche league. However, the league has recently taken steps forward. In June 2007, the WNBA signed a contract extension with ESPN. The new television deal ran from 2009 to 2016. Along with this deal, came the first ever rights fees to be paid to a women's professional sports league. Over the eight years of the contract, "millions and millions of dollars" were "dispersed to the league's teams." In a March 12, 2009 article, NBA commissioner David Stern said that in the bad economy, "the NBA is far less profitable than the WNBA. We're losing a lot of money among a large number of teams. We're budgeting the WNBA to break even this year."[33]
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Measurements and time limits discussed in this section often vary among tournaments and organizations; international and NBA rules are used in this section.
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The object of the game is to outscore one's opponents by throwing the ball through the opponents' basket from above while preventing the opponents from doing so on their own. An attempt to score in this way is called a shot. A successful shot is worth two points, or three points if it is taken from beyond the three-point arc 6.75 metres (22 ft 2 in) from the basket in international games[citation needed] and 23 feet 9 inches (7.24 m) in NBA games.[34] A one-point shot can be earned when shooting from the foul line after a foul is made. After a team has scored from a field goal or free throw, play is resumed with a throw-in awarded to the non-scoring team taken from a point beyond the endline of the court where the points(s) were scored.[35]
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Games are played in four quarters of 10 (FIBA)[36] or 12 minutes (NBA).[37] College men's games use two 20-minute halves,[38] college women's games use 10-minute quarters,[39] and most United States high school varsity games use 8-minute quarters; however, this varies from state to state.[40][41] 15 minutes are allowed for a half-time break under FIBA, NBA, and NCAA rules[38][42][43] and 10 minutes in United States high schools.[40] Overtime periods are five minutes in length[38][44][45] except for high school, which is four minutes in length.[40] Teams exchange baskets for the second half. The time allowed is actual playing time; the clock is stopped while the play is not active. Therefore, games generally take much longer to complete than the allotted game time, typically about two hours.
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Five players from each team may be on the court at one time.[46][47][48][49] Substitutions are unlimited but can only be done when play is stopped. Teams also have a coach, who oversees the development and strategies of the team, and other team personnel such as assistant coaches, managers, statisticians, doctors and trainers.
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For both men's and women's teams, a standard uniform consists of a pair of shorts and a jersey with a clearly visible number, unique within the team, printed on both the front and back. Players wear high-top sneakers that provide extra ankle support. Typically, team names, players' names and, outside of North America, sponsors are printed on the uniforms.
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A limited number of time-outs, clock stoppages requested by a coach (or sometimes mandated in the NBA) for a short meeting with the players, are allowed. They generally last no longer than one minute (100 seconds in the NBA) unless, for televised games, a commercial break is needed.
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The game is controlled by the officials consisting of the referee (referred to as crew chief in the NBA), one or two umpires (referred to as referees in the NBA) and the table officials. For college, the NBA, and many high schools, there are a total of three referees on the court. The table officials are responsible for keeping track of each team's scoring, timekeeping, individual and team fouls, player substitutions, team possession arrow, and the shot clock.
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The only essential equipment in a basketball game is the ball and the court: a flat, rectangular surface with baskets at opposite ends. Competitive levels require the use of more equipment such as clocks, score sheets, scoreboard(s), alternating possession arrows, and whistle-operated stop-clock systems.
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A regulation basketball court in international games is 91.9 feet (28.0 meters) long and 49.2 feet (15 meters) wide. In the NBA and NCAA the court is 94 by 50 feet (29 by 15 meters).[34] Most courts have wood flooring, usually constructed from maple planks running in the same direction as the longer court dimension.[50][51] The name and logo of the home team is usually painted on or around the center circle.
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The basket is a steel rim 18 inches (46 cm) diameter with an attached net affixed to a backboard that measures 6 by 3.5 feet (1.8 by 1.1 meters) and one basket is at each end of the court. The white outlined box on the backboard is 18 inches (46 cm) high and 2 feet (61 cm) wide. At almost all levels of competition, the top of the rim is exactly 10 feet (3.05 meters) above the court and 4 feet (1.22 meters) inside the baseline. While variation is possible in the dimensions of the court and backboard, it is considered important for the basket to be of the correct height – a rim that is off by just a few inches can have an adverse effect on shooting.
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The size of the basketball is also regulated. For men, the official ball is 29.5 inches (75 cm) in circumference (size 7, or a "295 ball") and weighs 22 oz (623.69 grams). If women are playing, the official basketball size is 28.5 inches (72 cm) in circumference (size 6, or a "285 ball") with a weight of 20 oz (567 grams). In 3x3, a formalized version of the halfcourt 3-on-3 game, a dedicated ball with the circumference of a size 6 ball but the weight of a size 7 ball is used in all competitions (men's, women's, and mixed teams).[52]
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The ball may be advanced toward the basket by being shot, passed between players, thrown, tapped, rolled or dribbled (bouncing the ball while running).
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The ball must stay within the court; the last team to touch the ball before it travels out of bounds forfeits possession. The ball is out of bounds if it touches a boundary line, or touches any player or object that is out of bounds.
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There are limits placed on the steps a player may take without dribbling, which commonly results in an infraction known as traveling. Nor may a player stop his dribble and then resume dribbling. A dribble that touches both hands is considered stopping the dribble, giving this infraction the name double dribble. Within a dribble, the player cannot carry the ball by placing his hand on the bottom of the ball; doing so is known as carrying the ball. A team, once having established ball control in the front half of their court, may not return the ball to the backcourt and be the first to touch it. A violation of these rules results in loss of possession.
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The ball may not be kicked, nor be struck with the fist. For the offense, a violation of these rules results in loss of possession; for the defense, most leagues reset the shot clock and the offensive team is given possession of the ball out of bounds.
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There are limits imposed on the time taken before progressing the ball past halfway (8 seconds in FIBA and the NBA; 10 seconds in NCAA and high school for both sexes), before attempting a shot (24 seconds in FIBA, the NBA, and U Sports (Canadian universities) play for both sexes, and 30 seconds in NCAA play for both sexes), holding the ball while closely guarded (5 seconds), and remaining in the restricted area known as the free-throw lane, (or the "key") (3 seconds). These rules are designed to promote more offense.
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Basket interference, or goaltending is a violation charged when a player illegally interferes with a shot. This violation is incurred when a player touches the ball on its downward trajectory to the basket, unless it is obvious that the ball has no chance of entering the basket, if a player touches the ball while it is in the rim, or in the area extended upwards from the basket, or if a player reaches through the basket to interfere with the shot. When a defensive player is charged with goaltending, the basket is awarded. If an offensive player commits the infraction, the basket is cancelled. In either case possession of the ball is turned over to the defensive team.
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An attempt to unfairly disadvantage an opponent through certain types of physical contact is illegal and is called a personal foul. These are most commonly committed by defensive players; however, they can be committed by offensive players as well. Players who are fouled either receive the ball to pass inbounds again, or receive one or more free throws if they are fouled in the act of shooting, depending on whether the shot was successful. One point is awarded for making a free throw, which is attempted from a line 15 feet (4.6 m) from the basket.
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The referee is responsible for judging whether contact is illegal, sometimes resulting in controversy. The calling of fouls can vary between games, leagues and referees.
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There is a second category of fouls called technical fouls, which may be charged for various rules violations including failure to properly record a player in the scorebook, or for unsportsmanlike conduct. These infractions result in one or two free throws, which may be taken by any of the five players on the court at the time. Repeated incidents can result in disqualification. A blatant foul involving physical contact that is either excessive or unnecessary is called an intentional foul (flagrant foul in the NBA). In FIBA and NCAA women's basketball, a foul resulting in ejection is called a disqualifying foul, while in leagues other than the NBA, such a foul is referred to as flagrant.
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If a team exceeds a certain limit of team fouls in a given period (quarter or half) – four for NBA, NCAA women's, and international games – the opposing team is awarded one or two free throws on all subsequent non-shooting fouls for that period, the number depending on the league. In the US college men's game and high school games for both sexes, if a team reaches 7 fouls in a half, the opposing team is awarded one free throw, along with a second shot if the first is made. This is called shooting "one-and-one". If a team exceeds 10 fouls in the half, the opposing team is awarded two free throws on all subsequent fouls for the half.
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When a team shoots foul shots, the opponents may not interfere with the shooter, nor may they try to regain possession until the last or potentially last free throw is in the air.
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After a team has committed a specified number of fouls, the other team is said to be "in the bonus". On scoreboards, this is usually signified with an indicator light reading "Bonus" or "Penalty" with an illuminated directional arrow or dot indicating that team is to receive free throws when fouled by the opposing team. (Some scoreboards also indicate the number of fouls committed.)
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If a team misses the first shot of a two-shot situation, the opposing team must wait for the completion of the second shot before attempting to reclaim possession of the ball and continuing play.
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If a player is fouled while attempting a shot and the shot is unsuccessful, the player is awarded a number of free throws equal to the value of the attempted shot. A player fouled while attempting a regular two-point shot thus receives two shots, and a player fouled while attempting a three-point shot receives three shots.
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If a player is fouled while attempting a shot and the shot is successful, typically the player will be awarded one additional free throw for one point. In combination with a regular shot, this is called a "three-point play" or "four-point play" (or more colloquially, an "and one") because of the basket made at the time of the foul (2 or 3 points) and the additional free throw (1 point).
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Although the rules do not specify any positions whatsoever, they have evolved as part of basketball. During the early years of basketball's evolution, two guards, two forwards, and one center were used. In more recent times specific positions evolved, but the current trend, advocated by many top coaches including Mike Krzyzewski is towards positionless basketball, where big guys are free to shoot from outside and dribble if their skill allows it.[53] Popular descriptions of positions include:
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Point guard (often called the "1") : usually the fastest player on the team, organizes the team's offense by controlling the ball and making sure that it gets to the right player at the right time.
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Shooting guard (the "2") : creates a high volume of shots on offense, mainly long-ranged; and guards the opponent's best perimeter player on defense.
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Small forward (the "3") : often primarily responsible for scoring points via cuts to the basket and dribble penetration; on defense seeks rebounds and steals, but sometimes plays more actively.
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Power forward (the "4"): plays offensively often with their back to the basket; on defense, plays under the basket (in a zone defense) or against the opposing power forward (in man-to-man defense).
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Center (the "5"): uses height and size to score (on offense), to protect the basket closely (on defense), or to rebound.
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The above descriptions are flexible. For most teams today, the shooting guard and small forward have very similar responsibilities and are often called the wings, as do the power forward and center, who are often called post players. While most teams describe two players as guards, two as forwards, and one as a center, on some occasions teams choose to call them by different designations.
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There are two main defensive strategies: zone defense and man-to-man defense. In a zone defense, each player is assigned to guard a specific area of the court. Zone defenses often allow the defense to double team the ball, a manoeuver known as a trap. In a man-to-man defense, each defensive player guards a specific opponent.
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Offensive plays are more varied, normally involving planned passes and movement by players without the ball. A quick movement by an offensive player without the ball to gain an advantageous position is known as a cut. A legal attempt by an offensive player to stop an opponent from guarding a teammate, by standing in the defender's way such that the teammate cuts next to him, is a screen or pick. The two plays are combined in the pick and roll, in which a player sets a pick and then "rolls" away from the pick towards the basket. Screens and cuts are very important in offensive plays; these allow the quick passes and teamwork, which can lead to a successful basket. Teams almost always have several offensive plays planned to ensure their movement is not predictable. On court, the point guard is usually responsible for indicating which play will occur.
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Shooting is the act of attempting to score points by throwing the ball through the basket, methods varying with players and situations.
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Typically, a player faces the basket with both feet facing the basket. A player will rest the ball on the fingertips of the dominant hand (the shooting arm) slightly above the head, with the other hand supporting the side of the ball. The ball is usually shot by jumping (though not always) and extending the shooting arm. The shooting arm, fully extended with the wrist fully bent, is held stationary for a moment following the release of the ball, known as a follow-through. Players often try to put a steady backspin on the ball to absorb its impact with the rim. The ideal trajectory of the shot is somewhat controversial, but generally a proper arc is recommended. Players may shoot directly into the basket or may use the backboard to redirect the ball into the basket.
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The two most common shots that use the above described setup are the set shot and the jump shot. Both are preceeded by a crouching action which preloads the muscles and increases the power of the shot. In a set shot the shooter straightens up and throws from a standing position with neither foot leaving the floor; this is typically used for free throws. For a jump shot, the throw is taken in mid-air with the ball being released near the top of the jump. This provides much greater power and range, and it also allows the player to elevate over the defender. Failure to release the ball before the feet return to the floor is considered a traveling violation.
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Another common shot is called the lay-up. This shot requires the player to be in motion toward the basket, and to "lay" the ball "up" and into the basket, typically off the backboard (the backboard-free, underhand version is called a finger roll). The most crowd-pleasing and typically highest-percentage accuracy shot is the slam dunk, in which the player jumps very high and throws the ball downward, through the basket while touching it.
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Another shot that is becoming common[citation needed] is the "circus shot". The circus shot is a low-percentage shot that is flipped, heaved, scooped, or flung toward the hoop while the shooter is off-balance, airborne, falling down, and/or facing away from the basket. A back-shot is a shot taken when the player is facing away from the basket, and may be shot with the dominant hand, or both; but there is a very low chance that the shot will be successful.
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A shot that misses both the rim and the backboard completely is referred to as an air ball. A particularly bad shot, or one that only hits the backboard, is jocularly called a brick. The hang time is the length of time a player stays in the air after jumping, either to make a slam dunk, lay-up or jump shot.
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The objective of rebounding is to successfully gain possession of the basketball after a missed field goal or free throw, as it rebounds from the hoop or backboard. This plays a major role in the game, as most possessions end when a team misses a shot. There are two categories of rebounds: offensive rebounds, in which the ball is recovered by the offensive side and does not change possession, and defensive rebounds, in which the defending team gains possession of the loose ball. The majority of rebounds are defensive, as the team on defense tends to be in better position to recover missed shots.
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A pass is a method of moving the ball between players. Most passes are accompanied by a step forward to increase power and are followed through with the hands to ensure accuracy.
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A staple pass is the chest pass. The ball is passed directly from the passer's chest to the receiver's chest. A proper chest pass involves an outward snap of the thumbs to add velocity and leaves the defence little time to react.
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Another type of pass is the bounce pass. Here, the passer bounces the ball crisply about two-thirds of the way from his own chest to the receiver. The ball strikes the court and bounces up toward the receiver. The bounce pass takes longer to complete than the chest pass, but it is also harder for the opposing team to intercept (kicking the ball deliberately is a violation). Thus, players often use the bounce pass in crowded moments, or to pass around a defender.
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The overhead pass is used to pass the ball over a defender. The ball is released while over the passer's head.
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The outlet pass occurs after a team gets a defensive rebound. The next pass after the rebound is the outlet pass.
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The crucial aspect of any good pass is it being difficult to intercept. Good passers can pass the ball with great accuracy and they know exactly where each of their other teammates prefers to receive the ball. A special way of doing this is passing the ball without looking at the receiving teammate. This is called a no-look pass.
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Another advanced style of passing is the behind-the-back pass, which, as the description implies, involves throwing the ball behind the passer's back to a teammate. Although some players can perform such a pass effectively, many coaches discourage no-look or behind-the-back passes, believing them to be difficult to control and more likely to result in turnovers or violations.
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Dribbling is the act of bouncing the ball continuously with one hand and is a requirement for a player to take steps with the ball. To dribble, a player pushes the ball down towards the ground with the fingertips rather than patting it; this ensures greater control.
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When dribbling past an opponent, the dribbler should dribble with the hand farthest from the opponent, making it more difficult for the defensive player to get to the ball. It is therefore important for a player to be able to dribble competently with both hands.
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Good dribblers (or "ball handlers") tend to bounce the ball low to the ground, reducing the distance of travel of the ball from the floor to the hand, making it more difficult for the defender to "steal" the ball. Good ball handlers frequently dribble behind their backs, between their legs, and switch directions suddenly, making a less predictable dribbling pattern that is more difficult to defend against. This is called a crossover, which is the most effective way to move past defenders while dribbling.
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A skilled player can dribble without watching the ball, using the dribbling motion or peripheral vision to keep track of the ball's location. By not having to focus on the ball, a player can look for teammates or scoring opportunities, as well as avoid the danger of having someone steal the ball away from him/her.
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A block is performed when, after a shot is attempted, a defender succeeds in altering the shot by touching the ball. In almost all variants of play, it is illegal to touch the ball after it is in the downward path of its arc; this is known as goaltending. It is also illegal under NBA and Men's NCAA basketball to block a shot after it has touched the backboard, or when any part of the ball is directly above the rim. Under international rules it is illegal to block a shot that is in the downward path of its arc or one that has touched the backboard until the ball has hit the rim. After the ball hits the rim, it is again legal to touch it even though it is no longer considered as a block performed.
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To block a shot, a player has to be able to reach a point higher than where the shot is released. Thus, height can be an advantage in blocking. Players who are taller and playing the power forward or center positions generally record more blocks than players who are shorter and playing the guard positions. However, with good timing and a sufficiently high vertical leap, even shorter players can be effective shot blockers.
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At the professional level, most male players are above 6 feet 3 inches (1.91 m) and most women above 5 feet 7 inches (1.70 m). Guards, for whom physical coordination and ball-handling skills are crucial, tend to be the smallest players. Almost all forwards in the top men's pro leagues are 6 feet 6 inches (1.98 m) or taller. Most centers are over 6 feet 10 inches (2.08 m) tall. According to a survey given to all NBA teams,[when?] the average height of all NBA players is just under 6 feet 7 inches (2.01 m), with the average weight being close to 222 pounds (101 kg). The tallest players ever in the NBA were Manute Bol and Gheorghe Mureșan, who were both 7 feet 7 inches (2.31 m) tall. At 7 feet 2 inches (2.18 m), Margo Dydek was the tallest player in the history of the WNBA.
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The shortest player ever to play in the NBA is Muggsy Bogues at 5 feet 3 inches (1.60 m).[54] Other short players have thrived at the pro level. Anthony "Spud" Webb was just 5 feet 7 inches (1.70 m) tall, but had a 42-inch (1.1 m) vertical leap, giving him significant height when jumping. While shorter players are often at a disadvantage in certain aspects of the game, their ability to navigate quickly through crowded areas of the court and steal the ball by reaching low are strengths.
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Players regularly inflate their height. Many prospects exaggerate their height while in high school or college to make themselves more appealing to coaches and scouts, who prefer taller players. Charles Barkley stated; "I've been measured at 6-5, 6-4 3⁄4. But I started in college at 6-6." Sam Smith, a former writer from The Chicago Tribune, said: "We sort of know the heights, because after camp, the sheet comes out. But you use that height, and the player gets mad. And then you hear from his agent. Or you file your story with the right height, and the copy desk changes it because they have the 'official' N.B.A. media guide, which is wrong. So you sort of go along with the joke."[55] In the NBA, there is no standard on whether a player's listed height uses their measurement with shoes on or without. The NBA Draft Combine, which most players attend before the draft, provides both measurements. Thereafter, a player's team is solely responsible for their listed height, which can vary depending on the process selected.[56][57]
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Notable players who overstated their height include:
|
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On rare occasions, some players will understate their actual heights, not to be repositioned. One example is Kevin Durant, whose listed height is 6 feet 9 inches (2.06 m), while his actual height is 7 feet 0 inches (2.13 m). Durant's reasoning was, "Really, that's the prototypical size for a small forward. Anything taller than that, and they'll start saying, 'Ah, he's a power forward."[62]
|
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Variations of basketball are activities based on the game of basketball, using common basketball skills and equipment (primarily the ball and basket). Some variations are only superficial rules changes, while others are distinct games with varying degrees of basketball influences. Other variations include children's games, contests or activities meant to help players reinforce skills.
|
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There are principal basketball sports with variations on basketball including Wheelchair basketball, Water basketball, Beach basketball, Slamball, Streetball and Unicycle basketball. An earlier version of basketball, played primarily by women and girls, was Six-on-six basketball. Horseball is a game played on horseback where a ball is handled and points are scored by shooting it through a high net (approximately 1.5m×1.5m). The sport is like a combination of polo, rugby, and basketball. There is even a form played on donkeys known as Donkey basketball, but that version has come under attack from animal rights groups.
|
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|
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+
Perhaps the single most common variation of basketball is the half-court game, played in informal settings without referees or strict rules. Only one basket is used, and the ball must be "taken back" or "cleared" – passed or dribbled outside the three-point line each time possession of the ball changes from one team to the other. Half-court games require less cardiovascular stamina, since players need not run back and forth a full court. Half-court raises the number of players that can use a court or, conversely, can be played if there is an insufficient number to form full 5-on-5 teams.
|
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|
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Half-court basketball is usually played 1-on-1, 2-on-2 or 3-on-3. The latter variation is gradually gaining official recognition as 3x3, originally known as FIBA 33. It was first tested at the 2007 Asian Indoor Games in Macau and the first official tournaments were held at the 2009 Asian Youth Games and the 2010 Youth Olympics, both in Singapore. The first FIBA 3x3 Youth World Championships[63] were held in Rimini, Italy in 2011, with the first FIBA 3x3 World Championships for senior teams following a year later in Athens. The sport is highly tipped to become an Olympic sport as early as 2016.[64] In the summer of 2017, the BIG3 basketball league, a professional 3x3 half court basketball league that features former NBA players, began. The BIG3 features several rule variants including a four-point field goal.[65]
|
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|
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There are also other basketball sports, such as:
|
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|
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+
Spin-offs from basketball that are now separate sports include:
|
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|
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+
Basketball has been adopted by various social groups, which have established their own environments and sometimes their own rules. Such socialized forms of basketball include the following.
|
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|
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+
Basketball is played widely casually in schools and colleges where fun, entertainment and camaraderie rule rather than winning a game.
|
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|
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+
Disabled basketball is played by various disabled groups, such as the deaf and physically crippled people.
|
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|
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Show basketball is performed by entertainment basketball show teams, the prime example being the Harlem Globetrotters. There are even specialized entertainment teams, such as teams of celebrities, people with short heights and others.
|
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|
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+
Fantasy basketball was popularized during the 1990s after the advent of the Internet. Those who play this game are sometimes referred to as General Managers, who draft actual NBA players and compute their basketball statistics. The game was popularized by ESPN Fantasy Sports, NBA.com, and Yahoo! Fantasy Sports. Other sports websites provided the same format keeping the game interesting with participants actually owning specific players.
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1 |
+
A tractor is an engineering vehicle specifically designed to deliver a high tractive effort (or torque) at slow speeds, for the purposes of hauling a trailer or machinery such as that used in agriculture or construction. Most commonly, the term is used to describe a farm vehicle that provides the power and traction to mechanize agricultural tasks, especially (and originally) tillage, but nowadays a great variety of tasks. Agricultural implements may be towed behind or mounted on the tractor, and the tractor may also provide a source of power if the implement is mechanised.
|
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|
3 |
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The word tractor was taken from Latin, being the agent noun of trahere "to pull".[2][3] The first recorded use of the word meaning "an engine or vehicle for pulling wagons or ploughs" occurred in 1896, from the earlier term "traction engine" (1859).[4]
|
4 |
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|
5 |
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In the UK, the Republic of Ireland, Australia, India, Spain, Argentina, Slovenia, Serbia, Croatia, the Netherlands, and Germany, the word "tractor" usually means "farm tractor", and the use of the word "tractor" to mean other types of vehicles is familiar to the vehicle trade, but unfamiliar to much of the general public. In Canada and the US, the word may also refer to the road tractor portion of a tractor trailer truck, but also usually refers to the piece of farm equipment.
|
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|
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+
The first powered farm implements in the early 19th century were portable engines – steam engines on wheels that could be used to drive mechanical farm machinery by way of a flexible belt. Richard Trevithick designed the first 'semi-portable' stationary steam engine for agricultural use, known as a "barn engine" in 1812, and it was used to drive a corn threshing machine.[5] The truly portable engine was invented in 1893 by William Tuxford of Boston, Lincolnshire who started manufacture of an engine built around a locomotive-style boiler with horizontal smoke tubes. A large flywheel was mounted on the crankshaft, and a stout leather belt was used to transfer the drive to the equipment being driven. In the 1850s, John Fowler used a Clayton & Shuttleworth portable engine to drive apparatus in the first public demonstrations of the application of cable haulage to cultivation.
|
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|
9 |
+
In parallel with the early portable engine development, many engineers attempted to make them self-propelled – the fore-runners of the traction engine. In most cases this was achieved by fitting a sprocket on the end of the crankshaft, and running a chain from this to a larger sprocket on the rear axle. These experiments met with mixed success.[6] The first proper traction engine, in the form recognisable today, was developed in 1859 when British engineer Thomas Aveling modified a Clayton & Shuttleworth portable engine, which had to be hauled from job to job by horses, into a self-propelled one. The alteration was made by fitting a long driving chain between the crankshaft and the rear axle.[7]
|
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|
11 |
+
The first half of the 1860s was a period of great experimentation but by the end of the decade the standard form of the traction engine had evolved and would change little over the next sixty years. It was widely adopted for agricultural use. The first tractors were steam-powered plowing engines. They were used in pairs, placed on either side of a field to haul a plow back and forth between them using a wire cable. In Britain Mann's and Garrett developed steam tractors for direct ploughing, but the heavy, wet soil of England meant that these designs were less economical than a team of horses. In the United States, where soil conditions permitted, steam tractors were used to direct-haul plows. Steam-powered agricultural engines remained in use well into the 20th century until reliable internal combustion engines had been developed.[8]
|
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|
13 |
+
In 1892, John Froelich invented and built the first gasoline/petrol-powered tractor in Clayton County, Iowa, US.[9][10][11] A Van Duzen single-cylinder gasoline engine was mounted on a Robinson engine chassis, which could be controlled and propelled by Froelich's gear box.[12] After receiving a patent, Froelich started up the Waterloo Gasoline Engine Company and invested all of his assets. However, the venture was very unsuccessful, and by 1895 all was lost and he went out of business.[13][14][15][16]
|
14 |
+
|
15 |
+
Richard Hornsby & Sons are credited with producing and selling the first oil-engined tractor in Britain invented by Herbert Akroyd Stuart. The Hornsby-Akroyd Patent Safety Oil Traction Engine was made in 1896 with a 20 hp engine. In 1897, it was bought by Mr. Locke-King, and this is the first recorded sale of a tractor in Britain. Also in that year, the tractor won a Silver Medal of the Royal Agricultural Society of England. That tractor would later be returned to the factory and fitted with a caterpillar track.
|
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+
|
17 |
+
The first commercially successful light-weight petrol-powered general purpose tractor was built by Dan Albone, a British inventor in 1901.[17][18] He filed for a patent on 15 February 1902 for his tractor design and then formed Ivel Agricultural Motors Limited. The other directors were Selwyn Edge, Charles Jarrott, John Hewitt and Lord Willoughby. He called his machine the Ivel Agricultural Motor; the word "tractor" did not come into common use until later. The Ivel Agricultural Motor was light, powerful and compact. It had one front wheel, with a solid rubber tyre, and two large rear wheels like a modern tractor. The engine used water cooling, by evaporation. It had one forward and one reverse gear. A pulley wheel on the left hand side allowed it to be used as a stationary engine, driving a wide range of agricultural machinery. The 1903 sale price was £300. His tractor won a medal at the Royal Agricultural Show, in 1903 and 1904. About 500 were built, and many were exported all over the world.[19] The original engine was made by Payne & Co. of Coventry. After 1906, French Aster engines were used.
|
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+
|
19 |
+
The first successful American tractor was built by Charles W. Hart and Charles H. Parr. They developed a two-cylinder gasoline engine and set up their business in Charles City, Iowa. In 1903, the firm built 15 tractors. Their 14,000-pound #3 is the oldest surviving internal combustion engine tractor in the United States, and is on display at the Smithsonian National Museum of American History in Washington, D.C. The two-cylinder engine has a unique hit-and-miss firing cycle that produced 30 horsepower at the belt and 18 at the drawbar.[20]
|
20 |
+
|
21 |
+
In 1908, the Saunderson Tractor and Implement Co. of Bedford introduced a four-wheel design, and went on to become the largest tractor manufacturer in Britain at the time. While the earlier, heavier tractors were initially very successful, it became increasingly apparent at this time that the weight of a large supporting frame was less efficient than lighter designs. Henry Ford introduced a light-weight, mass-produced design which largely displaced the heavier designs. Some companies halfheartedly followed suit with mediocre designs, as if to disprove the concept, but they were largely unsuccessful in that endeavor.[21]
|
22 |
+
|
23 |
+
While unpopular at first, these gasoline-powered machines began to catch on in the 1910s, when they became smaller and more affordable.[22] Henry Ford introduced the Fordson, a wildly popular mass-produced tractor, in 1917. They were built in the U.S., Ireland, England and Russia, and by 1923, Fordson had 77% of the U.S. market. The Fordson dispensed with a frame, using the strength of the engine block to hold the machine together. By the 1920s, tractors with gasoline-powered internal combustion engines had become the norm.
|
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+
|
25 |
+
The first three-point hitches were experimented with in 1917, however it was not until Harry Ferguson applied for a British patent for his three-point hitch in 1926 that they became popular. a three-point attachment of the implement to the tractor and the simplest and the only statically determinate way of joining two bodies in engineering. The Ferguson-Brown Company produced the Model A Ferguson-Brown tractor with a Ferguson-designed hydraulic hitch. In 1938 Ferguson entered into a collaboration with Henry Ford to produce the Ford-Ferguson 9N tractor. The three-point hitch soon became the favorite hitch attachment system among farmers around the world. This tractor model also included a rear Power Take Off (PTO) shaft that could be used to power three point hitch mounted implements such as sickle-bar mowers. This PTO location set the standard for future tractor developments.
|
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|
27 |
+
Tractors can be generally classified by number of axles or wheels, with main categories of two-wheel tractors (single-axle tractors) and four-wheel tractors (two-axle tractors); more axles are possible but uncommon. Among four-wheel tractors (two-axle tractors), most are two-wheel drive (usually at the rear); but many are two-wheel drive with front wheel assist, four-wheel drive (often with articulated steering), or track tractors (with steel or rubber tracks).
|
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|
29 |
+
The classic farm tractor is a simple open vehicle, with two very large driving wheels on an axle below and slightly behind a single seat (the seat and steering wheel consequently are in the center), and the engine in front of the driver, with two steerable wheels below the engine compartment. This basic design has remained unchanged for a number of years, but enclosed cabs are fitted on almost all modern models, for reasons of operator safety and comfort.
|
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+
|
31 |
+
In some localities with heavy or wet soils, notably in the Central Valley of California, the "Caterpillar" or "crawler" type of tracked tractor became popular in the 1930s, due to superior traction and flotation. These were usually maneuvered through the use of turning brake pedals and separate track clutches operated by levers rather than a steering wheel.
|
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+
|
33 |
+
Four-wheel drive tractors began to appear in the 1960s. Some four-wheel drive tractors have the standard "two large, two small" configuration typical of smaller tractors, while some have four large, powered wheels. The larger tractors are typically an articulated, center-hinged design steered by hydraulic cylinders that move the forward power unit while the trailing unit is not steered separately.
|
34 |
+
|
35 |
+
In the early 21st century, articulated or non-articulated, steerable multitrack tractors have largely supplanted the Caterpillar type for farm use. Larger types of modern farm tractors include articulated four-wheel or eight-wheel drive units with one or two power units which are hinged in the middle and steered by hydraulic clutches or pumps. A relatively recent development is the replacement of wheels or steel crawler-type tracks with flexible, steel-reinforced rubber tracks, usually powered by hydrostatic or completely hydraulic driving mechanisms. The configuration of these tractors bears little resemblance to the classic farm tractor design.
|
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|
37 |
+
The predecessors of modern tractors, traction engines, used steam engines for power.
|
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|
39 |
+
Since the turn of the 20th century, internal combustion engines have been the power source of choice. Between 1900 and 1960, gasoline was the predominant fuel, with kerosene (the Rumely Oil Pull was the most notable of this kind) and ethanol being common alternatives. Generally, one engine could burn any of those, although cold starting was easiest on gasoline. Often, a small auxiliary fuel tank was available to hold gasoline for cold starting and warm-up, while the main fuel tank held whatever fuel was most convenient or least expensive for the particular farmer. In the United Kingdom, a gasoline-kerosene engine is known as a petrol-paraffin engine.
|
40 |
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|
41 |
+
Dieselisation gained momentum starting in the 1960s, and modern farm tractors usually employ diesel engines, which range in power output from 18 to 575 horsepower (15 to 480 kW). Size and output are dependent on application, with smaller tractors used for lawn mowing, landscaping, orchard work, and truck farming, and larger tractors for vast fields of wheat, maize, soy, and other bulk crops.
|
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+
|
43 |
+
Liquefied petroleum gas (LPG) or propane also have been used as tractor fuels, but require special pressurized fuel tanks and filling equipment, so are less prevalent in most markets.
|
44 |
+
|
45 |
+
In some countries such as Germany, biodiesel is often used.[23][24] Some other biofuels such as straight vegetable oil are also being used by some farmers.[25][26]
|
46 |
+
|
47 |
+
Most older farm tractors use a manual transmission with several gear ratios, typically three to six, sometimes multiplied into two or three ranges. This arrangement provides a set of discrete ratios that, combined with the varying of the throttle, allow final-drive speeds from less than one up to about 25 miles per hour (40 km/h), with the lower speeds used for working the land and the highest speed used on the road.
|
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+
|
49 |
+
Slow, controllable speeds are necessary for most of the operations performed with a tractor. They help give the farmer a larger degree of control in certain situations, such as field work. However, when travelling on public roads, the slow operating speeds can cause problems, such as long queues or tailbacks, which can delay or annoy motorists in cars and trucks. These motorists are responsible for being duly careful around farm tractors and sharing the road with them, but many shirk this responsibility, so various ways to minimize the interaction or minimize the speed differential are employed where feasible. Some countries (for example the Netherlands) employ a road sign on some roads that means "no farm tractors". Some modern tractors, such as the JCB Fastrac, are now capable of much higher road speeds of around 50 mph (80 km/h).
|
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|
51 |
+
Older tractors usually have unsynchronized transmission designs, which often require the operator stop the tractor to shift between gears. This mode of use is inherently unsuited to some of the work tractors do, and has been circumvented in various ways over the years. For existing unsynchronized tractors, the methods of circumvention are double clutching or power-shifting, both of which require the operator to rely on skill to speed-match the gears while shifting, and are undesirable from a risk-mitigation standpoint because of what can go wrong if the operator makes a mistake – transmission damage is possible, and loss of vehicle control can occur if the tractor is towing a heavy load either uphill or downhill – something that tractors often do. Therefore, operator's manuals for most of these tractors state one must always stop the tractor before shifting, and they do not even mention the alternatives. As already said, that mode of use is inherently unsuited to some of the work tractors do, so better options were pursued for newer tractor designs.
|
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+
|
53 |
+
In these, unsynchronized transmission designs were replaced with synchronization or with continuously variable transmissions (CVTs). Either a synchronized manual transmission with enough available gear ratios (often achieved with dual ranges, high and low) or a CVT allow the engine speed to be matched to the desired final-drive speed, while keeping engine speed within the appropriate speed (as measured in rotations per minute or rpm) range for power generation (the working range) (whereas throttling back to achieve the desired final-drive speed is a trade-off that leaves the working range). The problems, solutions, and developments described here also describe the history of transmission evolution in semi-trailer trucks. The biggest difference is fleet turnover; whereas most of the old road tractors have long since been scrapped, many of the old farm tractors are still in use. Therefore, old transmission design and operation is primarily just of historical interest in trucking, whereas in farming it still often affects daily life.
|
54 |
+
|
55 |
+
The power produced by the engine must be transmitted to the implement or equipment to do the actual work intended for the equipment. This may be accomplished via a drawbar or hitch system if the implement is to be towed or otherwise pulled through the tractive power of the engine, or via a pulley or power takeoff system if the implement is stationary, or a combination of the two.
|
56 |
+
|
57 |
+
Until the 1940s, plows and other tillage equipment usually were connected to the tractor via a drawbar. The classic drawbar is simply a steel bar attached to the tractor (or in some cases, as in the early Fordsons, cast as part of the rear transmission housing) to which the hitch of the implement was attached with a pin or by a loop and clevis. The implement could be readily attached and removed, allowing the tractor to be used for other purposes on a daily basis. If the tractor was equipped with a swinging drawbar, then it could be set at the center or offset from center to allow the tractor to run outside the path of the implement.
|
58 |
+
|
59 |
+
The drawbar system necessitated the implement having its own running gear (usually wheels) and in the case of a plow, chisel cultivator or harrow, some sort of lift mechanism to raise it out of the ground at turns or for transport. Drawbars necessarily posed a rollover risk depending on how the tractive torque was applied.[27] The Fordson tractor (of which more units were produced and placed in service than any other farm tractor) was extremely prone to roll over backwards due to an excessively short wheelbase. The linkage between the implement and the tractor usually had some slack which could lead to jerky starts and greater wear and tear on the tractor and the equipment.
|
60 |
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|
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Drawbars were appropriate to the dawn of mechanization, because they were very simple in concept and because as the tractor replaced the horse, existing horse-drawn implements usually already had running gear. As the history of mechanization progressed, however, the advantages of other hitching systems became apparent, leading to new developments (see below). Depending on the function for which a tractor is used, though, the drawbar is still one of the usual means of attaching an implement to a tractor (see photo at left).
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Some tractor manufacturers produced matching equipment that could be directly mounted on the tractor. Examples included front-end loaders, belly mowers, row crop cultivators, corn pickers and corn planters. In most cases, these fixed mounts were proprietary and unique to each make of tractor, so an implement produced by John Deere, for example, could not be attached to a Minneapolis Moline tractor. Another disadvantage was mounting usually required some time and labor, resulting in the implement being semi-permanently attached with bolts or other mounting hardware. Usually, it was impractical to remove the implement and reinstall it on a day-to-day basis. As a result, the tractor was unavailable for other uses and dedicated to a single use for an appreciable period of time. An implement generally would be mounted at the beginning of its season of use (such as tillage, planting or harvesting) and removed only when the likely use season had ended.
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The drawbar system was virtually the exclusive method of attaching implements (other than direct attachment to the tractor) before Harry Ferguson developed the three-point hitch. Equipment attached to the three-point hitch can be raised or lowered hydraulically with a control lever. The equipment attached to the three-point hitch is usually completely supported by the tractor. Another way to attach an implement is via a quick hitch, which is attached to the three-point hitch. This enables a single person to attach an implement quicker and put the person in less danger when attaching the implement.
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The three-point hitch revolutionized farm tractors and their implements. While the Ferguson system was still under patent, other manufacturers developed new hitching systems to try to fend off some of Ferguson's competitive advantage. For example, International Harvester's Farmall tractors gained a two-point "Fast Hitch", and John Deere had a power lift that was similar to, but not as flexible as, the Ferguson invention. Once the patent protection expired on the three-point hitch, it became an industry standard.
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Almost every tractor today features Ferguson's three-point linkage or a derivative of it. This hitch allows for easy attachment and detachment of implements while allowing the implement to function as a part of the tractor, almost as if it were attached by a fixed mount. Previously, when the implement hit an obstacle, the towing link would break or the tractor could flip over. Ferguson's genius was to combine a connection via two lower and one upper lift arms that were connected to a hydraulic lifting ram. The ram was, in turn, connected to the upper of the three links so the increased drag (as when a plough hits a rock) caused the hydraulics to lift the implement until the obstacle was passed.
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Recently, Bobcat's patent on its front loader connection (inspired by these earlier systems) has expired, and compact tractors are now being outfitted with quick-connect attachments for their front-end loaders.
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In addition to towing an implement or supplying tractive power through the wheels, most tractors have a means to transfer power to another machine such as a baler, swather, or mower. Unless it functions solely by pulling it through or over the ground, a towed implement needs its own power source (such as a baler or combine with a separate engine) or else a means of transmitting power from the tractor to the mechanical operations of the equipment.
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Early tractors used belts or cables wrapped around the flywheel or a separate belt pulley to power stationary equipment, such as a threshing machine, buzz saw, silage blower, or stationary baler. In most cases, it was not practical for the tractor and equipment to move with a flexible belt or cable between them, so this system required the tractor to remain in one location, with the work brought to the equipment, or the tractor to be relocated at each turn and the power set-up reapplied (as in cable-drawn plowing systems used in early steam tractor operations).
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Modern tractors use a power take-off (PTO) shaft to provide rotary power to machinery that may be stationary or pulled. The PTO shaft generally is at the rear of the tractor, and can be connected to an implement that is either towed by a drawbar or a three-point hitch. This eliminates the need for a separate, implement-mounted power source, which is almost never seen in modern farm equipment. It is also optional to get a front PTO as well when buying a new tractor.
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Virtually all modern tractors can also provide external hydraulic fluid and electrical power to the equipment they are towing, either by hoses or wires.
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Modern tractors have many electrical switches and levers in the cab for controlling the multitude of different functions available on the tractor.
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Modern farm tractors usually have four or five foot-pedals for the operator on the floor of the tractor.
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The pedal on the left is the clutch. The operator presses on this pedal to disengage the transmission for either shifting gears or stopping the tractor. Some modern tractors have (or as optional equipment) a button on the gear stick for controlling the clutch, in addition to the standard pedal.
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Two of the pedals on the right are the brakes. The left brake pedal stops the left rear wheel and the right brake pedal does the same with the right side. This independent left and right wheel-braking augments the steering of the tractor when only the two rear wheels are driven. This is usually done when it is necessary to make a sharp turn. The split brake pedal is also used in mud or soft soil to control a tire spinning due to loss of traction. The operator presses both pedals together to stop the tractor. Usually a swinging or sliding bolt is provided to lock the two together when desired.
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The pedal furthest to the right is the foot throttle. Unlike in automobiles, it can also be controlled from a hand-operated lever ("hand throttle"). This helps provide a constant speed in field work. It also helps provide continuous power for stationary tractors that are operating an implement by shaft or belt. The foot throttle gives the operator more automobile-like control over the speed of the tractor for road work. This is a feature of more recent tractors; older tractors often did not have it. In the UK, foot pedal use to control engine speed while travelling on the road is mandatory. Some tractors, especially those designed for row-crop work, have a 'de-accelerator' pedal, which operates in the reverse fashion to an automobile throttle, in that the pedal is pushed down to slow the engine. This allows fine control over the speed of the tractor when maneuvering at the end of crop rows in fields – the operating speed of the engine is set using the hand throttle, and to slow the tractor to turn, the operator simply has to press the pedal, and turn and release it once the turn is completed, rather than having to alter the setting of the hand throttle twice during the maneuver.
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A fifth pedal is traditionally included just in front of the driver's seat (often pressed with the operator's heel) to operate the rear differential lock (diff-lock), which prevents wheel slip. The differential normally allows the outside wheel to travel faster than the inside wheel during a turn. However, in low-traction conditions on a soft surface, the same mechanism could allow one wheel to slip, further reducing traction. The diff-lock overrides this, forcing both wheels to turn at the same speed, reducing wheel slip and improving traction. Care must be taken to unlock the differential before turning, usually by hitting the pedal a second time, since the tractor with good traction cannot perform a turn with the diff-lock engaged. In modern tractors, this pedal is replaced with an electrical switch.
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Many functions once controlled with levers have been replaced with some model of electrical switch with the rise of indirect computer controlling of functions in modern tractors.
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Until the beginning of the 1960s, tractors had a single register of gears, hence one gear stick, often with three to five forward gears and one reverse. Then, group gears were introduced, and another gear stick was added. Later, control of the forward-reverse direction was moved to a special stick attached at the side of the steering wheel, which allowed forward or reverse travel in any gear. Nowadays, with CVTs or other clutch-free gear types, fewer sticks control the transmission, and some are replaced with electrical switches or are totally computer-controlled.
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The three-point hitch was controlled with a lever for adjusting the position, or as with the earliest ones, just the function for raising or lowering the hitch. With modern electrical systems, it is often replaced with a potentiometer for the lower bound position and another one for the upper bound, and a switch allowing automatic adjustment of the hitch between these settings.
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The external hydraulics also originally had levers, but now are often replaced with some form of electrical switch; the same is true for the power take-off shaft.
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Agriculture in the United States is one of the most hazardous industries, only surpassed
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by mining and construction. No other farm machine is so identified with the hazards of production agriculture as the tractor.[28] Tractor-related injuries account for approximately 32% of the fatalities and 6% of the nonfatal injuries in agriculture. Over 50% is attributed to tractor overturns.[29]
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The roll-over protection structure (ROPS) and seat belt, when worn,[30] are the most important safety devices to protect operators from death during tractor overturns.[31][32]
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Modern tractors have a ROPS to prevent an operator from being crushed if the tractor turns over. The ROPS does not prevent tractor overturns; rather, it prevents the operator from being crushed during an overturn.[33] This is especially important in open-air tractors, where the ROPS is a steel beam that extends above the operator's seat. For tractors with operator cabs, the ROPS is part
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of the frame of the cab. A ROPS with enclosed cab further reduces the likelihood of serious injury because the operator is protected by the sides and windows of the cab.
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These structures were first required by legislation in Sweden in 1959. Before they were required, some farmers died when their tractors rolled on top of them. Row-crop tractors, before ROPS, were particularly dangerous because of their 'tricycle' design with the two front wheels spaced close together and angled inward toward the ground. Some farmers were killed by rollovers while operating tractors along steep slopes. Others have been killed while attempting to tow or pull an excessive load from above axle height, or when cold weather caused the tires to freeze to the ground, in both cases causing the tractor to pivot around the rear axle.[28] ROPS were first required in the United States in 1986, but this requirement did not retroactively apply to tractors produced before this year; therefore, adoption of ROPS has been incomplete in the farming community. To combat this problem, CROPS (cost-effective roll-over protection structures) have been developed to encourage farmers to retrofit older tractors.[32]
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For the ROPS to work as designed, the operator must stay within its protective frame. This means the operator must wear the seat belt; not wearing it may defeat the primary purpose of the ROPS.
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The most common use of the term "tractor" is for the vehicles used on farms. The farm tractor is used for pulling or pushing agricultural machinery or trailers, for plowing, tilling, disking, harrowing, planting, and similar tasks.
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A variety of specialty farm tractors have been developed for particular uses. These include "row crop" tractors with adjustable tread width to allow the tractor to pass down rows of cereals, maize, tomatoes or other crops without crushing the plants, "wheatland" or "standard" tractors with fixed wheels and a lower center of gravity for plowing and other heavy field work for broadcast crops, and "high crop" tractors with adjustable tread and increased ground clearance, often used in the cultivation of cotton and other high-growing row crop plant operations, and "utility tractors", typically smaller tractors with a low center of gravity and short turning radius, used for general purposes around the farmstead. Many utility tractors are used for nonfarm grading, landscape maintenance and excavation purposes, particularly with loaders, backhoes, pallet forks and similar devices. Small garden or lawn tractors designed for suburban and semirural gardening and landscape maintenance also exist in a variety of configurations.
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Some farm-type tractors are found elsewhere than on farms: with large universities' gardening departments, in public parks, or for highway workman use with blowtorch cylinders strapped to the sides and a pneumatic drill air compressor permanently fastened over the power take-off. These are often fitted with grass (turf) tyres which are less damaging to soft surfaces than agricultural tires.
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Space technology has been incorporated into agriculture in the form of GPS devices, and robust on-board computers installed as optional features on farm tractors. These technologies are used in modern, precision farming techniques. The spin-offs from the space race have actually facilitated automation in plowing and the use of autosteer systems (drone on tractors that are manned but only steered at the end of a row), the idea being to neither overlap and use more fuel nor leave streaks when performing jobs such as cultivating. Several tractor companies have also been working on producing a driverless tractor.
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The durability and engine power of tractors made them very suitable for engineering tasks. Tractors can be fitted with engineering tools such as dozer blades, buckets, hoes, rippers, etc. The most common attachments for the front of a tractor are dozer blades or buckets. When attached to engineering tools, the tractor is called an engineering vehicle.
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A bulldozer is a track-type tractor with a blade attached in the front and a rope-winch behind. Bulldozers are very powerful tractors and have excellent ground-hold, as their main tasks are to push or drag.
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Bulldozers have been further modified over time to evolve into new machines which are capable of working in ways that the original bulldozer can not. One example is that loader tractors were created by removing the blade and substituting a large volume bucket and hydraulic arms which can raise and lower the bucket, thus making it useful for scooping up earth, rock and similar loose material to load it into trucks.
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A front-loader or loader is a tractor with an engineering tool which consists of two hydraulic powered arms on either side of the front engine compartment and a tilting implement. This is usually a wide-open box called a bucket, but other common attachments are a pallet fork and a bale grappler.
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Other modifications to the original bulldozer include making the machine smaller to let it operate in small work areas where movement is limited. Also, tiny wheeled loaders, officially called skid-steer loaders, but nicknamed "Bobcat" after the original manufacturer, are particularly suited for small excavation projects in confined areas.
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The most common variation of the classic farm tractor is the backhoe, also called a backhoe-loader. As the name implies, it has a loader assembly on the front and a backhoe on the back. Backhoes attach to a three-point hitch on farm or industrial tractors. Industrial tractors are often heavier in construction, particularly with regards to the use of a steel grill for protection from rocks and the use of construction tires. When the backhoe is permanently attached, the machine usually has a seat that can swivel to the rear to face the hoe controls. Removable backhoe attachments almost always have a separate seat on the attachment.
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Backhoe-loaders are very common and can be used for a wide variety of tasks: construction, small demolitions, light transportation of building materials, powering building equipment, digging holes, loading trucks, breaking asphalt and paving roads. Some buckets have retractable bottoms, enabling them to empty their loads more quickly and efficiently. Buckets with retractable bottoms are also often used for grading and scratching off sand. The front assembly may be a removable attachment or permanently mounted. Often the bucket can be replaced with other devices or tools.
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Their relatively small frames and precise controls make backhoe-loaders very useful and common in urban engineering projects, such as construction and repairs in areas too small for larger equipment. Their versatility and compact size make them one of the most popular urban construction vehicles.
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In the UK and Ireland, the word "JCB" is used colloquially as a genericized trademark for any such type of engineering vehicle. The term JCB now appears in the Oxford English Dictionary, although it is still legally a trademark of J. C. Bamford Ltd. The term "digger" is also commonly used.
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A compact utility tractor (CUT) is a smaller version of an agricultural tractor, but designed primarily for landscaping and estate management tasks rather than for planting and harvesting on a commercial scale. Typical CUTs range from {convert|20 - 50|hp|kW|1}} with available power take-off (PTO) horsepower ranging from 15–45 horsepower (11.2–33.6 kW). CUTs are often equipped with both a mid-mounted and a standard rear PTO, especially those below 40 horsepower (29.8 kW). The mid-mount PTO shaft typically rotates at/near 2000 rpm and is typically used to power mid-mount finish mowers, front-mounted snow blowers or front-mounted rotary brooms. The rear PTO is standardized at 540 rpm for the North American markets, but in some parts of the world, a dual 540/1000 rpm PTO is standard, and implements are available for either standard in those markets.
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One of the most common attachment for a CUT is the front-end loader or FEL. Like the larger agricultural tractors, a CUT will have an adjustable, hydraulically controlled three-point hitch. Typically, a CUT will have four-wheel drive, or more correctly four-wheel assist. Modern CUTs often feature hydrostatic transmissions, but many variants of gear-drive transmissions are also offered from low priced, simple gear transmissions to synchronized transmissions to advanced glide-shift transmissions. All modern CUTs feature government-mandated roll over protection structures just like agricultural tractors. The most well-known brands in North America include Kubota, John Deere Tractor, New Holland Ag, Case-Farmall and Massey-Ferguson. Although less common, compact backhoes are often attached to compact utility tractors.
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Compact utility tractors require special, smaller implements than full-sized agricultural tractors. Very common implements include the box blade, the grader blade, the landscape rake, the post hole digger (or post hole auger), the rotary cutter (slasher or a brush hog), a mid- or rear-mount finish mower, a broadcast seeder, a subsoiler and the rototiller (rotary tiller). In northern climates, a rear-mounted snow blower is very common; some smaller CUT models are available with front-mounted snow blowers powered by mid-PTO shafts. Implement brands outnumber tractor brands, so CUT owners have a wide selection of implements.
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For small-scale farming or large-scale gardening, some planting and harvesting implements are sized for CUTs. One- and two-row planting units are commonly available, as are cultivators, sprayers and different types of seeders (slit, rotary and drop). One of the first CUTs offered for small farms of three to 30 acres and for small jobs on larger farms was a three-wheeled unit, with the rear wheel being the drive wheel, offered by Sears & Roebuck in 1954 and priced at $598 for the basic model.[34]
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The earliest tractors were called "standard" tractors, and were intended almost solely for plowing and harrowing before planting, which were difficult tasks for humans and draft animals. They were characterized by a low, rearward seating position, fixed-width tread, and low ground clearance. These early tractors were cumbersome, and were not well-suited to getting into a field of already-planted row crops to do weed control. The "standard" tractor definition is no longer in current use.
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A general-purpose or row-crop tractor is tailored specifically to the growing of crops grown in rows, and most especially to cultivating these crops. These tractors are universal machines, capable of both primary tillage and cultivation of a crop. The "row-crop" or "general-purpose" designation is no longer in current use.
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The row-crop tractor category evolved rather than appearing overnight, but the International Harvester (IH) Farmall is often considered the "first" tractor of the category. Some earlier tractors of the 1910s and 1920s approached the form factor from the heavier side, as did motorized cultivators from the lighter side, but the Farmall brought all of the salient features together into one package, with a capable distribution network to ensure its commercial success. In the new form factor that the Farmall popularized, the cultivator was mounted in the front so it was easily visible. Additionally, the tractor had a narrow front end; the front tires were spaced very closely and angled in towards the bottom. The back wheels straddled two rows, and the unit could cultivate four rows at once.
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From 1924 until 1963, Farmalls were the largest selling row-crop tractors.
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To compete, John Deere designed the Model C, which had a wide front and could cultivate three rows at once. Only 112 prototypes were made, as Deere realized sales would be lost to Farmall if their model did less. In 1928, Deere released the Model C anyway, only as the Model GP (General Purpose) to avoid confusion with the Model D when ordered over the then unclear telephone.[35]
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Oliver refined its "Row Crop" model early in 1930.[36] Until 1935, the 18–27 was Oliver–Hart-Parr's only row-crop tractor.[37]
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Many Oliver row-crop models are referred to as "Oliver Row Crop 77", "Oliver Row Crop 88", etc.
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Many early row-crop tractors had a tricycle design with two closely spaced front tires, and some even had a single front tire. This made it dangerous to operate on the side of a steep hill; as a result, many farmers died from tractor rollovers. Also, early row-crop tractors had no rollover protection system (ROPS), meaning if the tractor flipped back, the operator could be crushed. Sweden was the first country which passed legislation requiring ROPS, in 1959.
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Over 50% of tractor related injuries and deaths are attributed to tractor rollover.[29]
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Canadian agricultural equipment manufacturer Versatile makes row-crop tractors that are 265 to 365 horsepower (198 to 272 kW); powered by an 8.9 liter Cummins Diesel engine.[38][39]
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Case IH and New Holland of CNH Industrial both produce high horsepower front-wheel-assist row crop tractors with available rear tracks.[40] Case IH also has a 500 hp (373 kW) four-wheel drive track system called Rowtrac.[41]
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John Deere has an extensive line of available row crop tractors ranging from 140 to 400 horsepower (104 to 298 kW).[42]
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Modern row crop tractors have rollover protection systems in the form of a reinforced cab or a roll bar.
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Garden tractors (mini tractors) are small, light tractors designed for use in domestic gardens and small estates. Garden tractors are designed for cutting grass, snow removal, and small property cultivation. In the U.S., the term riding lawn mower today often is used to refer to mid- or rear-engined machines. Front-engined tractor layout machines designed primarily for cutting grass and light towing are called lawn tractors; heavier-duty tractors of similar size are garden tractors. Garden tractors are capable of mounting a wider array of attachments than lawn tractors. Unlike lawn tractors and rear-engined riding mowers, garden tractors are powered by horizontal-crankshaft engines with a belt-drive to transaxle-type transmissions (usually of four or five speeds, although some may also have two-speed reduction gearboxes, drive-shafts, or hydrostatic or hydraulic drives). Garden tractors from Wheel Horse, Cub Cadet, Economy (Power King), John Deere, Massey Ferguson and Case Ingersoll are built in this manner. The engines are generally one- or two-cylinder petrol (gasoline) engines, although diesel engine models are also available, especially in Europe. Typically, diesel-powered garden tractors are larger and heavier-duty than gasoline-powered units and compare more similarly to compact utility tractors.
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Visually, the distinction between a garden tractor and a lawn tractor is often hard to make – generally, garden tractors are more sturdily built, with stronger frames, 12-inch or larger wheels mounted with multiple lugs (most lawn tractors have a single bolt or clip on the hub), heavier transaxles, and ability to accommodate a wide range of front, belly, and rear mounted attachments.
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Although most people think first of four-wheel vehicles when they think of tractors, a tractor may have one or more axles. The key benefit is the power itself, which only takes one axle to provide. Single-axle tractors, more often called two-wheel tractors or walk-behind tractors, have had many users since the beginning of internal combustion engine tractors. They tend to be small and affordable. This was especially true before the 1960s, when a walk-behind tractor could often be more affordable than a two-axle tractor of comparable power. Today's compact utility tractors and advanced garden tractors may negate most of that market advantage, but two-wheel tractors still enjoy a loyal following, especially where an already-paid-for two-wheel tractor is financially superior to a compact or garden tractor that would have to be purchased. Countries where two-wheel tractors are especially prevalent today include Thailand, China, Bangladesh, India, and other Southeast Asia countries.
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Tractors tailored to use in fruit orchards typically have features suited to passing under tree branches with impunity. These include a lower overall profile; reduced tree-branch-snagging risk (via underslung exhaust pipes rather than smoke-stack-style exhaust, and large sheetmetal cowlings and fairings that allow branches to deflect and slide off rather than catch); spark arrestors on the exhaust tips; and often wire cages to protect the operator from snags.
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The ingenuity of farm mechanics, coupled in some cases with OEM or aftermarket assistance, has often resulted in the conversion of automobiles for use as farm tractors. In the United States, this trend was especially strong from the 1910s through 1950s. It began early in the development of vehicles powered by internal combustion engines, with blacksmiths and amateur mechanics tinkering in their shops. Especially during the interwar period, dozens of manufacturers (Montgomery Ward among them) marketed aftermarket kits for converting Ford Model Ts for use as tractors.[43] (These were sometimes called 'Hoover wagons' during the Great Depression, although this term was usually reserved for automobiles converted to horse-drawn buggy use when gasoline was unavailable or unaffordable. During the same period, another common name was "Doodlebug".) Ford even considered producing an "official" optional kit.[44] Many Model A Fords also were converted for this purpose. In later years, some farm mechanics have been known to convert more modern trucks or cars for use as tractors, more often as curiosities or for recreational purposes (rather than out of the earlier motives of pure necessity or frugality).
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During World War II, a shortage of tractors in Sweden led to the development of the so-called "EPA" tractor (EPA was a chain of discount stores and it was often used to signify something lacking in quality). An EPA tractor was simply an automobile, truck or lorry, with the passenger space cut off behind the front seats, equipped with two gearboxes in a row. When done to an older car with a ladder frame, the result was not dissimilar to a tractor and could be used as one. After the war it remained popular, now not as a farm vehicle, but as a way for young people without a driver's license to own something similar to a car. Since it was legally seen as a tractor, it could be driven from 16 years of age and only required a tractor license. Eventually, the legal loophole was closed and no new EPA tractors were allowed to be made, but the remaining ones were still legal, which led to inflated prices and many protests from people who preferred EPA tractors to ordinary cars.
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The German occupation of Italy during World War II resulted in a severe shortage of mechanized farm equipment. The destruction of tractors was a sort of scorched-earth strategy used to reduce the independence of the conquered. The shortage of tractors in that area of Europe was the origin of Lamborghini. The war was also the inspiration for dual-purpose vehicles such as the Land Rover. Based on the Jeep, the company made a vehicle that combined PTO, tillage, and transportation.
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In March 1975, a similar type of vehicle was introduced in Sweden, the A tractor [from arbetstraktor (work tractor)]; the main difference is an A tractor has a top speed of 30 km/h. This is usually done by fitting two gearboxes in a row and not using one of them. The Volvo Duett was, for a long time, the primary choice for conversion to an EPA or A tractor, but since supplies have dried up, other cars have been used, in most cases another Volvo. The SFRO is a Swedish organization advocating homebuilt and modified vehicles.
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Another type of homemade tractors are ones that are fabricated from scratch. The "from scratch" description is relative, as often individual components will be repurposed from earlier vehicles or machinery (e.g., engines, gearboxes, axle housings), but the tractor's overall chassis is essentially designed and built by the owner (e.g., a frame is welded from bar stock—channel stock, angle stock, flat stock, etc.). As with automobile conversions, the heyday of this type of tractor, at least in developed economies, lies in the past, when there were large populations of blue-collar workers for whom metalworking and farming were prevalent parts of their lives. (For example, many 19th- and 20th-century New England and Midwestern machinists and factory workers had grown up on farms.) Backyard fabrication was a natural activity to them (whereas it might seem daunting to most people today).
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The term "tractor" (US and Canada) or "tractor unit" (UK) is also applied to:
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Diesel-electric locomotive at work
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A Trackmobile 4150
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Aircraft pushback tractor
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Road tractor pulling a flatbed trailer
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Unimog 70200
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Standard Bucket loader - Standard bucket many says it GP bucket also. its common bucket loader used for loading or unloading of material. it also called the JCB Tractor.[45]
|
203 |
+
|
204 |
+
Telescopic loader - Telescopic loader arm height is more as compared to the normal loader. The maximum height goes up to 18 meters in standard 60 HP tractor. its generally used for the low weight material but dumping required at a high point. Or we can say it is used for husk material loading & unloading.[45]
|
205 |
+
|
206 |
+
Grabbing fork bucket loader - Grabbing fork bucket used where bucket needs to hold that material so the material can’t spill from the bucket. Paper Mill, Cotton Industry, and Scrap or waste collection industry generally use it maximum.[45]
|
207 |
+
|
208 |
+
Radial loader - The radial loader has maximum height it used for multi-purpose with different kinds of buckets. Redial Loader bucket can rotate 360 so it will help out those who want to pick the material like wood and load the trucks.[45]
|
209 |
+
|
210 |
+
Manure Fork loader - Manure fork loader use for husk kind of item loading. It’s very rarely used in the industry Manure fork loader.[45]
|
211 |
+
|
212 |
+
Some of the many tractor manufacturers and brands worldwide include:
|
213 |
+
|
214 |
+
In addition to commercial manufacturers, the Open Source Ecology group has developed several working prototypes of an open source hardware tractor called the LifeTrac as part of its Global Village Construction Set.
|
215 |
+
|
216 |
+
An unusual application − road roller powered by a tractor-drive
|
217 |
+
|
218 |
+
The First Tractor, a painting by Vladimir Krikhatsky.
|
219 |
+
|
220 |
+
A single tractor in Brazil
|
221 |
+
|
222 |
+
Tractor that is used for self-sufficiency purposes in Germany
|
223 |
+
|
224 |
+
A scale model of a modern Mahindra tractor in Punjab, India
|
225 |
+
|
226 |
+
Farm tractor in Balnain, Scotland
|
227 |
+
|
228 |
+
Alvin O. Lombard of Waterville, Maine, invented a tractor in 1901 for hauling logs, as displayed at the Maine State Museum in the capital city of Augusta. Known as "Lombard Log Haulers," these vehicles revolutionized logging in Maine.
|
229 |
+
|
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Mercedes-Benz tractor
|
en/5751.html.txt
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1 |
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|
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Tragedy (from the Greek: τραγῳδία, tragōidia[a]) is a form of drama based on human suffering that invokes an accompanying catharsis or pleasure in audiences.[2][3] While many cultures have developed forms that provoke this paradoxical response, the term tragedy often refers to a specific tradition of drama that has played a unique and important role historically in the self-definition of Western civilization.[2][4] That tradition has been multiple and discontinuous, yet the term has often been used to invoke a powerful effect of cultural identity and historical continuity—"the Greeks and the Elizabethans, in one cultural form; Hellenes and Christians, in a common activity," as Raymond Williams puts it.[5]
|
6 |
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|
7 |
+
From its origins in the theatre of ancient Greece 2500 years ago, from which there survives only a fraction of the work of Aeschylus, Sophocles and Euripides, as well as many fragments from other poets; through its singular articulations in the works of Shakespeare, Lope de Vega, Jean Racine, and Friedrich Schiller to the more recent naturalistic tragedy of Henrik Ibsen and August Strindberg; Samuel Beckett's modernist meditations on death, loss and suffering; Müller's postmodernist reworkings of the tragic canon, tragedy has remained an important site of cultural experimentation, negotiation, struggle, and change.[6][7] A long line of philosophers—which includes Plato, Aristotle, Saint Augustine, Voltaire, Hume, Diderot, Hegel, Schopenhauer, Kierkegaard, Nietzsche, Freud, Benjamin,[8] Camus, Lacan, and Deleuze[9]—have analysed, speculated upon, and criticised the genre.[10][11][12]
|
8 |
+
|
9 |
+
In the wake of Aristotle's Poetics (335 BCE), tragedy has been used to make genre distinctions, whether at the scale of poetry in general (where the tragic divides against epic and lyric) or at the scale of the drama (where tragedy is opposed to comedy). In the modern era, tragedy has also been defined against drama, melodrama, the tragicomic, and epic theatre.[12][13][14] Drama, in the narrow sense, cuts across the traditional division between comedy and tragedy in an anti- or a-generic deterritorialisation from the mid-19th century onwards. Both Bertolt Brecht and Augusto Boal define their epic theatre projects (non-Aristotelian drama and Theatre of the Oppressed, respectively) against models of tragedy. Taxidou, however, reads epic theatre as an incorporation of tragic functions and its treatments of mourning and speculation.[7]
|
10 |
+
|
11 |
+
The word "tragedy" appears to have been used to describe different phenomena at different times. It derives from Classical Greek τραγῳδία, contracted from trag(o)-aoidiā = "goat song", which comes from tragos = "he-goat" and aeidein = "to sing" (cf. "ode"). Scholars suspect this may be traced to a time when a goat was either the prize[15] in a competition of choral dancing or was that around which a chorus danced prior to the animal's ritual sacrifice.[16] In another view on the etymology, Athenaeus of Naucratis (2nd–3rd century CE) says that the original form of the word was trygodia from trygos (grape harvest) and ode (song), because those events were first introduced during grape harvest.[17]
|
12 |
+
|
13 |
+
Writing in 335 BCE (long after the Golden Age of 5th-century Athenian tragedy), Aristotle provides the earliest-surviving explanation for the origin of the dramatic art form in his Poetics, in which he argues that tragedy developed from the improvisations of the leader of choral dithyrambs (hymns sung and danced in praise of Dionysos, the god of wine and fertility):[16]
|
14 |
+
|
15 |
+
Anyway, arising from an improvisatory beginning (both tragedy and comedy—tragedy from the leaders of the dithyramb, and comedy from the leaders of the phallic processions which even now continue as a custom in many of our cities), [tragedy] grew little by little, as [the poets] developed whatever [new part] of it had appeared; and, passing through many changes, tragedy came to a halt, since it had attained its own nature.
|
16 |
+
|
17 |
+
In the same work, Aristotle attempts to provide a scholastic definition of what tragedy is:
|
18 |
+
|
19 |
+
Tragedy is, then, an enactment of a deed that is important and complete, and of [a certain] magnitude, by means of language enriched [with ornaments], each used separately in the different parts [of the play]: it is enacted, not [merely] recited, and through pity and fear it effects relief (catharsis) to such [and similar] emotions.
|
20 |
+
|
21 |
+
There is some dissent to the dithyrambic origins of tragedy, mostly based on the differences between the shapes of their choruses and styles of dancing.[20] A common descent from pre-Hellenic fertility and burial rites has been suggested.[20] Friedrich Nietzsche discussed the origins of Greek tragedy in his early book The Birth of Tragedy (1872). Here, he suggests the name originates in the use of a chorus of goat-like satyrs in the original dithyrambs from which the tragic genre developed.
|
22 |
+
|
23 |
+
Scott Scullion writes:
|
24 |
+
|
25 |
+
There is abundant evidence for tragoidia understood as "song for the prize goat". The best-known evidence is Horace, Ars poetica 220-24 ("he who with a tragic song competed for a mere goat"); the earliest is the Parian Marble, a chronicle inscribed about 264/63 BCE, which records, under a date between 538 and 528 BCE: "Thespis is the poet ... first produced ... and as prize was established the billy goat" (FrGHist 239A, epoch 43); the clearest is Eustathius 1769.45: "They called those competing tragedians, clearly because of the song over the billy goat"...[21]
|
26 |
+
|
27 |
+
Athenian tragedy—the oldest surviving form of tragedy—is a type of dance-drama that formed an important part of the theatrical culture of the city-state.[22][23][24][25][26][27] Having emerged sometime during the 6th century BCE, it flowered during the 5th century BCE (from the end of which it began to spread throughout the Greek world), and continued to be popular until the beginning of the Hellenistic period.[28][29][30] No tragedies from the 6th century and only 32 of the more than a thousand that were performed in the 5th century have survived.[31][32][b] We have complete texts extant by Aeschylus, Sophocles, and Euripides.[31][c]
|
28 |
+
|
29 |
+
Athenian tragedies were performed in late March/early April at an annual state religious festival in honor of Dionysus. The presentations took the form of a contest between three playwrights, who presented their works on three successive days. Each playwright offered a tetralogy consisting of three tragedies and a concluding comic piece called a satyr play.[34] The four plays sometimes featured linked stories. Only one complete trilogy of tragedies has survived, the Oresteia of Aeschylus. The Greek theatre was in the open air, on the side of a hill, and performances of a trilogy and satyr play probably lasted most of the day. Performances were apparently open to all citizens, including women, but evidence is scant.[citation needed] The theatre of Dionysus at Athens probably held around 12,000 people.[35]
|
30 |
+
|
31 |
+
All of the choral parts were sung (to the accompaniment of an aulos) and some of the actors' answers to the chorus were sung as well. The play as a whole was composed in various verse metres. All actors were male and wore masks. A Greek chorus danced as well as sang, though no one knows exactly what sorts of steps the chorus performed as it sang. Choral songs in tragedy are often divided into three sections: strophe ("turning, circling"), antistrophe ("counter-turning, counter-circling") and epode ("after-song").
|
32 |
+
|
33 |
+
Many ancient Greek tragedians employed the ekkyklêma as a theatrical device, which was a platform hidden behind the scene that could be rolled out to display the aftermath of some event which had happened out of sight of the audience. This event was frequently a brutal murder of some sort, an act of violence which could not be effectively portrayed visually, but an action of which the other characters must see the effects for it to have meaning and emotional resonance. A prime example of the use of the ekkyklêma is after the murder of Agamemnon in the first play of Aeschylus' Oresteia, when the king's butchered body is wheeled out in a grand display for all to see. Variations on the ekkyklêma are used in tragedies and other forms to this day, as writers still find it a useful and often powerful device for showing the consequences of extreme human actions. Another such device was a crane, the mechane, which served to hoist a god or goddess on stage when they were supposed to arrive flying. This device gave origin to the phrase "deus ex machina" ("god out of a machine"), that is, the surprise intervention of an unforeseen external factor that changes the outcome of an event.[36]
|
34 |
+
|
35 |
+
Following the expansion of the Roman Republic (509–27 BCE) into several Greek territories between 270–240 BCE, Rome encountered Greek tragedy.[37] From the later years of the republic and by means of the Roman Empire (27 BCE-476 CE), theatre spread west across Europe, around the Mediterranean and even reached England.[38] While Greek tragedy continued to be performed throughout the Roman period, the year 240 BCE marks the beginning of regular Roman drama.[37][d] Livius Andronicus began to write Roman tragedies, thus creating some of the first important works of Roman literature.[39] Five years later, Gnaeus Naevius also began to write tragedies (though he was more appreciated for his comedies).[39] No complete early Roman tragedy survives, though it was highly regarded in its day; historians know of three other early tragic playwrights—Quintus Ennius, Marcus Pacuvius and Lucius Accius.[40]
|
36 |
+
|
37 |
+
From the time of the empire, the tragedies of two playwrights survive—one is an unknown author, while the other is the Stoic philosopher Seneca.[41] Nine of Seneca's tragedies survive, all of which are fabula crepidata (tragedies adapted from Greek originals); his Phaedra, for example, was based on Euripides' Hippolytus.[42] Historians do not know who wrote the only extant example of the fabula praetexta (tragedies based on Roman subjects), Octavia, but in former times it was mistakenly attributed to Seneca due to his appearance as a character in the tragedy.[41]
|
38 |
+
|
39 |
+
Seneca's tragedies rework those of all three of the Athenian tragic playwrights whose work has survived. Probably meant to be recited at elite gatherings, they differ from the Greek versions in their long declamatory, narrative accounts of action, their obtrusive moralising, and their bombastic rhetoric. They dwell on detailed accounts of horrible deeds and contain long reflective soliloquies. Though the gods rarely appear in these plays, ghosts and witches abound. Senecan tragedies explore ideas of revenge, the occult, the supernatural, suicide, blood and gore. The Renaissance scholar Julius Caesar Scaliger (1484–1558), who knew both Latin and Greek, preferred Seneca to Euripides.
|
40 |
+
|
41 |
+
Classical Greek drama was largely forgotten in Western Europe from the Middle Ages to the beginning of the 16th century. Medieval theatre was dominated by mystery plays, morality plays, farces and miracle plays. In Italy, the models for tragedy in the later Middle Ages were Roman, particularly the works of Seneca, interest in which was reawakened by the Paduan Lovato de' Lovati (1241–1309).[43] His pupil Albertino Mussato (1261–1329), also of Padua, in 1315 wrote the Latin verse tragedy Eccerinis, which uses the story of the tyrant Ezzelino III da Romano to highlight the danger to Padua posed by Cangrande della Scala of Verona.[44] It was the first secular tragedy written since Roman times, and may be considered the first Italian tragedy identifiable as a Renaissance work. The earliest tragedies to employ purely classical themes are the Achilles written before 1390 by Antonio Loschi of Vicenza (c.1365–1441) and the Progne of the Venetian Gregorio Correr (1409–1464) which dates from 1428 to 1429.[45]
|
42 |
+
|
43 |
+
In 1515 Gian Giorgio Trissino (1478–1550) of Vicenza wrote his tragedy Sophonisba in the vernacular that would later be called Italian. Drawn from Livy's account of Sophonisba, the Carthaginian princess who drank poison to avoid being taken by the Romans, it adheres closely to classical rules. It was soon followed by the Oreste and Rosmunda of Trissino's friend, the Florentine Giovanni di Bernardo Rucellai (1475–1525). Both were completed by early 1516 and are based on classical Greek models, Rosmunda on the Hecuba of Euripides, and Oreste on the Iphigenia in Tauris of the same author; like Sophonisba, they are in Italian and in blank (unrhymed) hendecasyllables. Another of the first of all modern tragedies is A Castro, by Portuguese poet and playwright António Ferreira, written around 1550 (but only published in 1587) in polymetric verse (most of it being blank hendecasyllables), dealing with the murder of Inês de Castro, one of the most dramatic episodes in Portuguese history. Although these three Italian plays are often cited, separately or together, as being the first regular tragedies in modern times, as well as the earliest substantial works to be written in blank hendecasyllables, they were apparently preceded by two other works in the vernacular: Pamfila or Filostrato e Panfila written in 1498 or 1508 by Antonio Cammelli (Antonio da Pistoia); and a Sophonisba by Galeotto del Carretto of 1502.[46][47]
|
44 |
+
|
45 |
+
From about 1500 printed copies, in the original languages, of the works of Sophocles, Seneca, and Euripides, as well as comedic writers such as Aristophanes, Terence and Plautus, were available in Europe and the next forty years saw humanists and poets translating and adapting their tragedies. In the 1540s, the European university setting (and especially, from 1553 on, the Jesuit colleges) became host to a Neo-Latin theatre (in Latin) written by scholars. The influence of Seneca was particularly strong in its humanist tragedy. His plays, with their ghosts, lyrical passages and rhetorical oratory, brought a concentration on rhetoric and language over dramatic action to many humanist tragedies.
|
46 |
+
|
47 |
+
The most important sources for French tragic theatre in the Renaissance were the example of Seneca and the precepts of Horace and Aristotle (and contemporary commentaries by Julius Caesar Scaliger and Lodovico Castelvetro), although plots were taken from classical authors such as Plutarch, Suetonius, etc., from the Bible, from contemporary events and from short story collections (Italian, French and Spanish). The Greek tragic authors (Sophocles and Euripides) would become increasingly important as models by the middle of the 17th century. Important models were also supplied by the Spanish Golden Age playwrights Pedro Calderón de la Barca, Tirso de Molina and Lope de Vega, many of whose works were translated and adapted for the French stage.
|
48 |
+
|
49 |
+
|
50 |
+
|
51 |
+
Dutch Renaissance and Golden Age
|
52 |
+
|
53 |
+
The common forms are the:
|
54 |
+
|
55 |
+
In English, the most famous and most successful tragedies are those of William Shakespeare and his Elizabethan contemporaries. Shakespeare's tragedies include:
|
56 |
+
|
57 |
+
A contemporary of Shakespeare, Christopher Marlowe, also wrote examples of tragedy in English, notably:
|
58 |
+
|
59 |
+
John Webster (1580?–1635?), also wrote famous plays of the genre:
|
60 |
+
|
61 |
+
Contemporary with Shakespeare, an entirely different approach to facilitating the rebirth of tragedy was taken in Italy. Jacopo Peri, in the preface to his Euridice refers to "the ancient Greeks and Romans (who in the opinion of many sang their staged tragedies throughout in representing them on stage)."[48] The attempts of Peri and his contemporaries to recreate ancient tragedy gave rise to the new Italian musical genre of opera. In France, tragic operatic works from the time of Lully to about that of Gluck were not called opera, but tragédie en musique ("tragedy in music") or some similar name; the tragédie en musique is regarded as a distinct musical genre.[49] Some later operatic composers have also shared Peri's aims: Richard Wagner's concept of Gesamtkunstwerk ("integrated work of art"), for example, was intended as a return to the ideal of Greek tragedy in which all the arts were blended in service of the drama.[50] Nietzsche, in his The Birth of Tragedy (1872) was to support Wagner in his claims to be a successor of the ancient dramatists.
|
62 |
+
|
63 |
+
For much of the 17th century, Pierre Corneille, who made his mark on the world of tragedy with plays like Medée (1635) and Le Cid (1636), was the most successful writer of French tragedies. Corneille's tragedies were strangely un-tragic (his first version of Le Cid was even listed as a tragicomedy), for they had happy endings. In his theoretical works on theatre, Corneille redefined both comedy and tragedy around the following suppositions:
|
64 |
+
|
65 |
+
Corneille continued to write plays through 1674 (mainly tragedies, but also something he called "heroic comedies") and many continued to be successes, although the "irregularities" of his theatrical methods were increasingly criticised (notably by François Hédelin, abbé d'Aubignac) and the success of Jean Racine from the late 1660s signalled the end of his preeminence.
|
66 |
+
|
67 |
+
Jean Racine's tragedies—inspired by Greek myths, Euripides, Sophocles and Seneca—condensed their plot into a tight set of passionate and duty-bound conflicts between a small group of noble characters, and concentrated on these characters' double-binds and the geometry of their unfulfilled desires and hatreds. Racine's poetic skill was in the representation of pathos and amorous passion (like Phèdre's love for her stepson) and his impact was such that emotional crisis would be the dominant mode of tragedy to the end of the century. Racine's two late plays ("Esther" and "Athalie") opened new doors to biblical subject matter and to the use of theatre in the education of young women. Racine also faced criticism for his irregularities: when his play, Bérénice, was criticised for not containing any deaths, Racine disputed the conventional view of tragedy.
|
68 |
+
|
69 |
+
For more on French tragedy of the 16th and 17th centuries, see French Renaissance literature and French literature of the 17th century.
|
70 |
+
|
71 |
+
Bourgeois tragedy (German: Bürgerliches Trauerspiel) is a form that developed in 18th-century Europe. It was a fruit of the Enlightenment and the emergence of the bourgeois class and its ideals. It is characterised by the fact that its protagonists are ordinary citizens. The first true bourgeois tragedy was an English play, George Lillo's The London Merchant; or, the History of George Barnwell, which was first performed in 1731. Usually, Gotthold Ephraim Lessing's play Miss Sara Sampson, which was first produced in 1755, is said to be the earliest Bürgerliches Trauerspiel in Germany.
|
72 |
+
|
73 |
+
In modernist literature, the definition of tragedy has become less precise. The most fundamental change has been the rejection of Aristotle's dictum that true tragedy can only depict those with power and high status. Arthur Miller's essay "Tragedy and the Common Man" (1949) argues that tragedy may also depict ordinary people in domestic surroundings thus defining Domestic tragedies.[51] British playwright Howard Barker has argued strenuously for the rebirth of tragedy in the contemporary theatre, most notably in his volume Arguments for a Theatre. "You emerge from tragedy equipped against lies. After the musical, you're anybody's fool," he insists.[52]
|
74 |
+
|
75 |
+
Critics such as George Steiner have even been prepared to argue that tragedy may no longer exist in comparison with its former manifestations in classical antiquity. In The Death of Tragedy (1961) George Steiner outlined the characteristics of Greek tragedy and the traditions that developed from that period. In the Foreword (1980) to a new edition of his book Steiner concluded that ‘the dramas of Shakespeare are not a renascence of or a humanistic variant of the absolute tragic model. They are, rather, a rejection of this model in the light of tragi-comic and "realistic" criteria.’ In part, this feature of Shakespeare's mind is explained by his bent of mind or imagination which was ‘so encompassing, so receptive to the plurality of diverse orders of experience.’ When compared to the drama of Greek antiquity and French classicism Shakespeare's forms are ‘richer but hybrid'.[53]
|
76 |
+
|
77 |
+
Numerous books and plays continue to be written in the tradition of tragedy to this day examples include Froth on the Daydream,[54][55] The Road,[56] The Fault in Our Stars, Fat City,[57] Rabbit Hole,[58][59] Requiem for a Dream, The Handmaid's Tale.[60][61][62][63]
|
78 |
+
|
79 |
+
Defining tragedy is no simple matter, and there are many definitions, some of which are incompatible with each other. Oscar Mandel, in A Definition of Tragedy (1961), contrasted two essentially different means of arriving at a definition. First is what he calls the derivative way, in which the tragedy is thought to be an expression of an ordering of the world; "instead of asking what tragedy expresses, the derivative definition tends to ask what expresses itself through tragedy". The second is the substantive way of defining tragedy, which starts with the work of art which is assumed to contain the ordering of the world. Substantive critics "are interested in the constituent elements of art, rather than its ontological sources". He recognizes four subclasses: a. "definition by formal elements" (for instance the supposed "three unities"); b. "definition by situation" (where one defines tragedy for instance as "exhibiting the fall of a good man"); c. "definition by ethical direction" (where the critic is concerned with the meaning, with the "intellectual and moral effect); and d. "definition by emotional effect" (and he cites Aristotle's "requirement of pity and fear").[64]
|
80 |
+
|
81 |
+
Aristotle wrote in his work Poetics that
|
82 |
+
tragedy is characterised by seriousness and involves a great person who experiences a reversal of fortune (Peripeteia). Aristotle's definition can include a change of fortune from bad to good as in the Eumenides, but he says that the change from good to bad as in Oedipus Rex is preferable because this induces pity and fear within the spectators. Tragedy results in a catharsis (emotional cleansing) or healing for the audience through their experience of these emotions in response to the suffering of the characters in the drama.
|
83 |
+
|
84 |
+
According to Aristotle, "the structure of the best tragedy should not be simple but complex and one that represents incidents arousing fear and pity—for that is peculiar to this form of art."[65] This reversal of fortune must be caused by the tragic hero's hamartia, which is often translated as either a character flaw, or as a mistake (since the original Greek etymology traces back to hamartanein, a sporting term that refers to an archer or spear-thrower missing his target).[66] According to Aristotle, "The misfortune is brought about not by [general] vice or depravity, but by some [particular] error or frailty."[67] The reversal is the inevitable but unforeseen result of some action taken by the hero. It is also a misconception that this reversal can be brought about by a higher power (e.g. the law, the gods, fate, or society), but if a character's downfall is brought about by an external cause, Aristotle describes this as a misadventure and not a tragedy.[68]
|
85 |
+
|
86 |
+
In addition, the tragic hero may achieve some revelation or recognition (anagnorisis--"knowing again" or "knowing back" or "knowing throughout") about human fate, destiny, and the will of the gods. Aristotle terms this sort of recognition "a change from ignorance to awareness of a bond of love or hate."
|
87 |
+
|
88 |
+
In Poetics, Aristotle gave the following definition in ancient Greek of the word "tragedy" (τραγῳδία):[69]
|
89 |
+
|
90 |
+
Tragedy is an imitation of an action that is admirable, complete (composed of an introduction, a middle part and an ending), and possesses magnitude; in language made pleasurable, each of its species separated in different parts; performed by actors, not through narration; effecting through pity and fear the purification of such emotions.
|
91 |
+
|
92 |
+
Common usage of tragedy refers to any story with a sad ending, whereas to be an Aristotelian tragedy the story must fit the set of requirements as laid out by Poetics. By this definition social drama cannot be tragic because the hero in it is a victim of circumstance and incidents that depend upon the society in which he lives and not upon the inner compulsions—psychological or religious—which determine his progress towards self-knowledge and death.[70] Exactly what constitutes a "tragedy", however, is a frequently debated matter.
|
93 |
+
|
94 |
+
According to Aristotle, there are four species of tragedy:
|
95 |
+
|
96 |
+
1. Complex, which involves Peripety and Discovery
|
97 |
+
|
98 |
+
2. Suffering, tragedies of such nature can be seen in the Greek mythological stories of Ajaxes and Ixions
|
99 |
+
|
100 |
+
3. Character, a tragedy of moral or ethical character. Tragedies of this nature can be found in Phthiotides and Peleus
|
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4. Spectacle, that of a horror-like theme. Examples of this nature are Phorcides and Prometheus
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G.W.F. Hegel, the German philosopher most famous for his dialectical approach to epistemology and history, also applied such a methodology to his theory of tragedy. In his essay "Hegel's Theory of Tragedy," A.C. Bradley first introduced the English-speaking world to Hegel's theory, which Bradley called the "tragic collision", and contrasted against the Aristotelian notions of the "tragic hero" and his or her "hamartia" in subsequent analyses of the Aeschylus' Oresteia trilogy and of Sophocles' Antigone.[71] Hegel himself, however, in his seminal "The Phenomenology of Spirit" argues for a more complicated theory of tragedy, with two complementary branches which, though driven by a single dialectical principle, differentiate Greek tragedy from that which follows Shakespeare. His later lectures formulate such a theory of tragedy as a conflict of ethical forces, represented by characters, in ancient Greek tragedy, but in Shakespearean tragedy the conflict is rendered as one of subject and object, of individual personality which must manifest self-destructive passions because only such passions are strong enough to defend the individual from a hostile and capricious external world:
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The heroes of ancient classical tragedy encounter situations in which, if they firmly decide in favor of the one ethical pathos that alone suits their finished character, they must necessarily come into conflict with the equally [gleichberechtigt] justified ethical power that confronts them. Modern characters, on the other hand, stand in a wealth of more accidental circumstances, within which one could act this way or that, so that the conflict is, though occasioned by external preconditions, still essentially grounded in the character. The new individuals, in their passions, obey their own nature... simply because they are what they are. Greek heroes also act in accordance with individuality, but in ancient tragedy such individuality is necessarily... a self-contained ethical pathos... In modern tragedy, however, the character in its peculiarity decides in accordance with subjective desires... such that congruity of character with outward ethical aim no longer constitutes an essential basis of tragic beauty...[72]
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Hegel's comments on a particular play may better elucidate his theory: "Viewed externally, Hamlet's death may be seen to have been brought about accidentally... but in Hamlet's soul, we understand that death has lurked from the beginning: the sandbank of finitude cannot suffice his sorrow and tenderness, such grief and nausea at all conditions of life... we feel he is a man whom inner disgust has almost consumed well before death comes upon him from outside."[73]
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The writer Bharata Muni, in his work on dramatic theory A Treatise on Theatre (Sanskrit: Nātyaśāstra, नाट्य शास्त्र, c. 200 BCE – 200 CE),[74] identified several rasas (such as pity, anger, disgust and terror) in the emotional responses of audiences for the Sanskrit drama of ancient India. The text also suggests the notion of musical modes or jatis which are the origin of the notion of the modern melodic structures known as ragas. Their role in invoking emotions are emphasised; thus compositions emphasising the notes gandhara or rishabha are said to provoke "sadness" or "pathos" (karuna rasa) whereas rishabha evokes heroism (vira rasa). Jatis are elaborated in greater detail in the text Dattilam, composed around the same time as the Treatise.
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The celebrated ancient Indian epic, Mahabharata, can also be related to tragedy in some ways. According to Hermann Oldenberg, the original epic once carried an immense "tragic force".[75] It was common in Sanskrit drama to adapt episodes from the Mahabharata into dramatic form.
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Tragedy (from the Greek: τραγῳδία, tragōidia[a]) is a form of drama based on human suffering that invokes an accompanying catharsis or pleasure in audiences.[2][3] While many cultures have developed forms that provoke this paradoxical response, the term tragedy often refers to a specific tradition of drama that has played a unique and important role historically in the self-definition of Western civilization.[2][4] That tradition has been multiple and discontinuous, yet the term has often been used to invoke a powerful effect of cultural identity and historical continuity—"the Greeks and the Elizabethans, in one cultural form; Hellenes and Christians, in a common activity," as Raymond Williams puts it.[5]
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From its origins in the theatre of ancient Greece 2500 years ago, from which there survives only a fraction of the work of Aeschylus, Sophocles and Euripides, as well as many fragments from other poets; through its singular articulations in the works of Shakespeare, Lope de Vega, Jean Racine, and Friedrich Schiller to the more recent naturalistic tragedy of Henrik Ibsen and August Strindberg; Samuel Beckett's modernist meditations on death, loss and suffering; Müller's postmodernist reworkings of the tragic canon, tragedy has remained an important site of cultural experimentation, negotiation, struggle, and change.[6][7] A long line of philosophers—which includes Plato, Aristotle, Saint Augustine, Voltaire, Hume, Diderot, Hegel, Schopenhauer, Kierkegaard, Nietzsche, Freud, Benjamin,[8] Camus, Lacan, and Deleuze[9]—have analysed, speculated upon, and criticised the genre.[10][11][12]
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In the wake of Aristotle's Poetics (335 BCE), tragedy has been used to make genre distinctions, whether at the scale of poetry in general (where the tragic divides against epic and lyric) or at the scale of the drama (where tragedy is opposed to comedy). In the modern era, tragedy has also been defined against drama, melodrama, the tragicomic, and epic theatre.[12][13][14] Drama, in the narrow sense, cuts across the traditional division between comedy and tragedy in an anti- or a-generic deterritorialisation from the mid-19th century onwards. Both Bertolt Brecht and Augusto Boal define their epic theatre projects (non-Aristotelian drama and Theatre of the Oppressed, respectively) against models of tragedy. Taxidou, however, reads epic theatre as an incorporation of tragic functions and its treatments of mourning and speculation.[7]
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The word "tragedy" appears to have been used to describe different phenomena at different times. It derives from Classical Greek τραγῳδία, contracted from trag(o)-aoidiā = "goat song", which comes from tragos = "he-goat" and aeidein = "to sing" (cf. "ode"). Scholars suspect this may be traced to a time when a goat was either the prize[15] in a competition of choral dancing or was that around which a chorus danced prior to the animal's ritual sacrifice.[16] In another view on the etymology, Athenaeus of Naucratis (2nd–3rd century CE) says that the original form of the word was trygodia from trygos (grape harvest) and ode (song), because those events were first introduced during grape harvest.[17]
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Writing in 335 BCE (long after the Golden Age of 5th-century Athenian tragedy), Aristotle provides the earliest-surviving explanation for the origin of the dramatic art form in his Poetics, in which he argues that tragedy developed from the improvisations of the leader of choral dithyrambs (hymns sung and danced in praise of Dionysos, the god of wine and fertility):[16]
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Anyway, arising from an improvisatory beginning (both tragedy and comedy—tragedy from the leaders of the dithyramb, and comedy from the leaders of the phallic processions which even now continue as a custom in many of our cities), [tragedy] grew little by little, as [the poets] developed whatever [new part] of it had appeared; and, passing through many changes, tragedy came to a halt, since it had attained its own nature.
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In the same work, Aristotle attempts to provide a scholastic definition of what tragedy is:
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Tragedy is, then, an enactment of a deed that is important and complete, and of [a certain] magnitude, by means of language enriched [with ornaments], each used separately in the different parts [of the play]: it is enacted, not [merely] recited, and through pity and fear it effects relief (catharsis) to such [and similar] emotions.
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There is some dissent to the dithyrambic origins of tragedy, mostly based on the differences between the shapes of their choruses and styles of dancing.[20] A common descent from pre-Hellenic fertility and burial rites has been suggested.[20] Friedrich Nietzsche discussed the origins of Greek tragedy in his early book The Birth of Tragedy (1872). Here, he suggests the name originates in the use of a chorus of goat-like satyrs in the original dithyrambs from which the tragic genre developed.
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Scott Scullion writes:
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There is abundant evidence for tragoidia understood as "song for the prize goat". The best-known evidence is Horace, Ars poetica 220-24 ("he who with a tragic song competed for a mere goat"); the earliest is the Parian Marble, a chronicle inscribed about 264/63 BCE, which records, under a date between 538 and 528 BCE: "Thespis is the poet ... first produced ... and as prize was established the billy goat" (FrGHist 239A, epoch 43); the clearest is Eustathius 1769.45: "They called those competing tragedians, clearly because of the song over the billy goat"...[21]
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Athenian tragedy—the oldest surviving form of tragedy—is a type of dance-drama that formed an important part of the theatrical culture of the city-state.[22][23][24][25][26][27] Having emerged sometime during the 6th century BCE, it flowered during the 5th century BCE (from the end of which it began to spread throughout the Greek world), and continued to be popular until the beginning of the Hellenistic period.[28][29][30] No tragedies from the 6th century and only 32 of the more than a thousand that were performed in the 5th century have survived.[31][32][b] We have complete texts extant by Aeschylus, Sophocles, and Euripides.[31][c]
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Athenian tragedies were performed in late March/early April at an annual state religious festival in honor of Dionysus. The presentations took the form of a contest between three playwrights, who presented their works on three successive days. Each playwright offered a tetralogy consisting of three tragedies and a concluding comic piece called a satyr play.[34] The four plays sometimes featured linked stories. Only one complete trilogy of tragedies has survived, the Oresteia of Aeschylus. The Greek theatre was in the open air, on the side of a hill, and performances of a trilogy and satyr play probably lasted most of the day. Performances were apparently open to all citizens, including women, but evidence is scant.[citation needed] The theatre of Dionysus at Athens probably held around 12,000 people.[35]
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All of the choral parts were sung (to the accompaniment of an aulos) and some of the actors' answers to the chorus were sung as well. The play as a whole was composed in various verse metres. All actors were male and wore masks. A Greek chorus danced as well as sang, though no one knows exactly what sorts of steps the chorus performed as it sang. Choral songs in tragedy are often divided into three sections: strophe ("turning, circling"), antistrophe ("counter-turning, counter-circling") and epode ("after-song").
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Many ancient Greek tragedians employed the ekkyklêma as a theatrical device, which was a platform hidden behind the scene that could be rolled out to display the aftermath of some event which had happened out of sight of the audience. This event was frequently a brutal murder of some sort, an act of violence which could not be effectively portrayed visually, but an action of which the other characters must see the effects for it to have meaning and emotional resonance. A prime example of the use of the ekkyklêma is after the murder of Agamemnon in the first play of Aeschylus' Oresteia, when the king's butchered body is wheeled out in a grand display for all to see. Variations on the ekkyklêma are used in tragedies and other forms to this day, as writers still find it a useful and often powerful device for showing the consequences of extreme human actions. Another such device was a crane, the mechane, which served to hoist a god or goddess on stage when they were supposed to arrive flying. This device gave origin to the phrase "deus ex machina" ("god out of a machine"), that is, the surprise intervention of an unforeseen external factor that changes the outcome of an event.[36]
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Following the expansion of the Roman Republic (509–27 BCE) into several Greek territories between 270–240 BCE, Rome encountered Greek tragedy.[37] From the later years of the republic and by means of the Roman Empire (27 BCE-476 CE), theatre spread west across Europe, around the Mediterranean and even reached England.[38] While Greek tragedy continued to be performed throughout the Roman period, the year 240 BCE marks the beginning of regular Roman drama.[37][d] Livius Andronicus began to write Roman tragedies, thus creating some of the first important works of Roman literature.[39] Five years later, Gnaeus Naevius also began to write tragedies (though he was more appreciated for his comedies).[39] No complete early Roman tragedy survives, though it was highly regarded in its day; historians know of three other early tragic playwrights—Quintus Ennius, Marcus Pacuvius and Lucius Accius.[40]
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From the time of the empire, the tragedies of two playwrights survive—one is an unknown author, while the other is the Stoic philosopher Seneca.[41] Nine of Seneca's tragedies survive, all of which are fabula crepidata (tragedies adapted from Greek originals); his Phaedra, for example, was based on Euripides' Hippolytus.[42] Historians do not know who wrote the only extant example of the fabula praetexta (tragedies based on Roman subjects), Octavia, but in former times it was mistakenly attributed to Seneca due to his appearance as a character in the tragedy.[41]
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Seneca's tragedies rework those of all three of the Athenian tragic playwrights whose work has survived. Probably meant to be recited at elite gatherings, they differ from the Greek versions in their long declamatory, narrative accounts of action, their obtrusive moralising, and their bombastic rhetoric. They dwell on detailed accounts of horrible deeds and contain long reflective soliloquies. Though the gods rarely appear in these plays, ghosts and witches abound. Senecan tragedies explore ideas of revenge, the occult, the supernatural, suicide, blood and gore. The Renaissance scholar Julius Caesar Scaliger (1484–1558), who knew both Latin and Greek, preferred Seneca to Euripides.
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Classical Greek drama was largely forgotten in Western Europe from the Middle Ages to the beginning of the 16th century. Medieval theatre was dominated by mystery plays, morality plays, farces and miracle plays. In Italy, the models for tragedy in the later Middle Ages were Roman, particularly the works of Seneca, interest in which was reawakened by the Paduan Lovato de' Lovati (1241–1309).[43] His pupil Albertino Mussato (1261–1329), also of Padua, in 1315 wrote the Latin verse tragedy Eccerinis, which uses the story of the tyrant Ezzelino III da Romano to highlight the danger to Padua posed by Cangrande della Scala of Verona.[44] It was the first secular tragedy written since Roman times, and may be considered the first Italian tragedy identifiable as a Renaissance work. The earliest tragedies to employ purely classical themes are the Achilles written before 1390 by Antonio Loschi of Vicenza (c.1365–1441) and the Progne of the Venetian Gregorio Correr (1409–1464) which dates from 1428 to 1429.[45]
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In 1515 Gian Giorgio Trissino (1478–1550) of Vicenza wrote his tragedy Sophonisba in the vernacular that would later be called Italian. Drawn from Livy's account of Sophonisba, the Carthaginian princess who drank poison to avoid being taken by the Romans, it adheres closely to classical rules. It was soon followed by the Oreste and Rosmunda of Trissino's friend, the Florentine Giovanni di Bernardo Rucellai (1475–1525). Both were completed by early 1516 and are based on classical Greek models, Rosmunda on the Hecuba of Euripides, and Oreste on the Iphigenia in Tauris of the same author; like Sophonisba, they are in Italian and in blank (unrhymed) hendecasyllables. Another of the first of all modern tragedies is A Castro, by Portuguese poet and playwright António Ferreira, written around 1550 (but only published in 1587) in polymetric verse (most of it being blank hendecasyllables), dealing with the murder of Inês de Castro, one of the most dramatic episodes in Portuguese history. Although these three Italian plays are often cited, separately or together, as being the first regular tragedies in modern times, as well as the earliest substantial works to be written in blank hendecasyllables, they were apparently preceded by two other works in the vernacular: Pamfila or Filostrato e Panfila written in 1498 or 1508 by Antonio Cammelli (Antonio da Pistoia); and a Sophonisba by Galeotto del Carretto of 1502.[46][47]
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From about 1500 printed copies, in the original languages, of the works of Sophocles, Seneca, and Euripides, as well as comedic writers such as Aristophanes, Terence and Plautus, were available in Europe and the next forty years saw humanists and poets translating and adapting their tragedies. In the 1540s, the European university setting (and especially, from 1553 on, the Jesuit colleges) became host to a Neo-Latin theatre (in Latin) written by scholars. The influence of Seneca was particularly strong in its humanist tragedy. His plays, with their ghosts, lyrical passages and rhetorical oratory, brought a concentration on rhetoric and language over dramatic action to many humanist tragedies.
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The most important sources for French tragic theatre in the Renaissance were the example of Seneca and the precepts of Horace and Aristotle (and contemporary commentaries by Julius Caesar Scaliger and Lodovico Castelvetro), although plots were taken from classical authors such as Plutarch, Suetonius, etc., from the Bible, from contemporary events and from short story collections (Italian, French and Spanish). The Greek tragic authors (Sophocles and Euripides) would become increasingly important as models by the middle of the 17th century. Important models were also supplied by the Spanish Golden Age playwrights Pedro Calderón de la Barca, Tirso de Molina and Lope de Vega, many of whose works were translated and adapted for the French stage.
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Dutch Renaissance and Golden Age
|
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The common forms are the:
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In English, the most famous and most successful tragedies are those of William Shakespeare and his Elizabethan contemporaries. Shakespeare's tragedies include:
|
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A contemporary of Shakespeare, Christopher Marlowe, also wrote examples of tragedy in English, notably:
|
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John Webster (1580?–1635?), also wrote famous plays of the genre:
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Contemporary with Shakespeare, an entirely different approach to facilitating the rebirth of tragedy was taken in Italy. Jacopo Peri, in the preface to his Euridice refers to "the ancient Greeks and Romans (who in the opinion of many sang their staged tragedies throughout in representing them on stage)."[48] The attempts of Peri and his contemporaries to recreate ancient tragedy gave rise to the new Italian musical genre of opera. In France, tragic operatic works from the time of Lully to about that of Gluck were not called opera, but tragédie en musique ("tragedy in music") or some similar name; the tragédie en musique is regarded as a distinct musical genre.[49] Some later operatic composers have also shared Peri's aims: Richard Wagner's concept of Gesamtkunstwerk ("integrated work of art"), for example, was intended as a return to the ideal of Greek tragedy in which all the arts were blended in service of the drama.[50] Nietzsche, in his The Birth of Tragedy (1872) was to support Wagner in his claims to be a successor of the ancient dramatists.
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For much of the 17th century, Pierre Corneille, who made his mark on the world of tragedy with plays like Medée (1635) and Le Cid (1636), was the most successful writer of French tragedies. Corneille's tragedies were strangely un-tragic (his first version of Le Cid was even listed as a tragicomedy), for they had happy endings. In his theoretical works on theatre, Corneille redefined both comedy and tragedy around the following suppositions:
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Corneille continued to write plays through 1674 (mainly tragedies, but also something he called "heroic comedies") and many continued to be successes, although the "irregularities" of his theatrical methods were increasingly criticised (notably by François Hédelin, abbé d'Aubignac) and the success of Jean Racine from the late 1660s signalled the end of his preeminence.
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Jean Racine's tragedies—inspired by Greek myths, Euripides, Sophocles and Seneca—condensed their plot into a tight set of passionate and duty-bound conflicts between a small group of noble characters, and concentrated on these characters' double-binds and the geometry of their unfulfilled desires and hatreds. Racine's poetic skill was in the representation of pathos and amorous passion (like Phèdre's love for her stepson) and his impact was such that emotional crisis would be the dominant mode of tragedy to the end of the century. Racine's two late plays ("Esther" and "Athalie") opened new doors to biblical subject matter and to the use of theatre in the education of young women. Racine also faced criticism for his irregularities: when his play, Bérénice, was criticised for not containing any deaths, Racine disputed the conventional view of tragedy.
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For more on French tragedy of the 16th and 17th centuries, see French Renaissance literature and French literature of the 17th century.
|
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Bourgeois tragedy (German: Bürgerliches Trauerspiel) is a form that developed in 18th-century Europe. It was a fruit of the Enlightenment and the emergence of the bourgeois class and its ideals. It is characterised by the fact that its protagonists are ordinary citizens. The first true bourgeois tragedy was an English play, George Lillo's The London Merchant; or, the History of George Barnwell, which was first performed in 1731. Usually, Gotthold Ephraim Lessing's play Miss Sara Sampson, which was first produced in 1755, is said to be the earliest Bürgerliches Trauerspiel in Germany.
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In modernist literature, the definition of tragedy has become less precise. The most fundamental change has been the rejection of Aristotle's dictum that true tragedy can only depict those with power and high status. Arthur Miller's essay "Tragedy and the Common Man" (1949) argues that tragedy may also depict ordinary people in domestic surroundings thus defining Domestic tragedies.[51] British playwright Howard Barker has argued strenuously for the rebirth of tragedy in the contemporary theatre, most notably in his volume Arguments for a Theatre. "You emerge from tragedy equipped against lies. After the musical, you're anybody's fool," he insists.[52]
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Critics such as George Steiner have even been prepared to argue that tragedy may no longer exist in comparison with its former manifestations in classical antiquity. In The Death of Tragedy (1961) George Steiner outlined the characteristics of Greek tragedy and the traditions that developed from that period. In the Foreword (1980) to a new edition of his book Steiner concluded that ‘the dramas of Shakespeare are not a renascence of or a humanistic variant of the absolute tragic model. They are, rather, a rejection of this model in the light of tragi-comic and "realistic" criteria.’ In part, this feature of Shakespeare's mind is explained by his bent of mind or imagination which was ‘so encompassing, so receptive to the plurality of diverse orders of experience.’ When compared to the drama of Greek antiquity and French classicism Shakespeare's forms are ‘richer but hybrid'.[53]
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Numerous books and plays continue to be written in the tradition of tragedy to this day examples include Froth on the Daydream,[54][55] The Road,[56] The Fault in Our Stars, Fat City,[57] Rabbit Hole,[58][59] Requiem for a Dream, The Handmaid's Tale.[60][61][62][63]
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Defining tragedy is no simple matter, and there are many definitions, some of which are incompatible with each other. Oscar Mandel, in A Definition of Tragedy (1961), contrasted two essentially different means of arriving at a definition. First is what he calls the derivative way, in which the tragedy is thought to be an expression of an ordering of the world; "instead of asking what tragedy expresses, the derivative definition tends to ask what expresses itself through tragedy". The second is the substantive way of defining tragedy, which starts with the work of art which is assumed to contain the ordering of the world. Substantive critics "are interested in the constituent elements of art, rather than its ontological sources". He recognizes four subclasses: a. "definition by formal elements" (for instance the supposed "three unities"); b. "definition by situation" (where one defines tragedy for instance as "exhibiting the fall of a good man"); c. "definition by ethical direction" (where the critic is concerned with the meaning, with the "intellectual and moral effect); and d. "definition by emotional effect" (and he cites Aristotle's "requirement of pity and fear").[64]
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Aristotle wrote in his work Poetics that
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tragedy is characterised by seriousness and involves a great person who experiences a reversal of fortune (Peripeteia). Aristotle's definition can include a change of fortune from bad to good as in the Eumenides, but he says that the change from good to bad as in Oedipus Rex is preferable because this induces pity and fear within the spectators. Tragedy results in a catharsis (emotional cleansing) or healing for the audience through their experience of these emotions in response to the suffering of the characters in the drama.
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According to Aristotle, "the structure of the best tragedy should not be simple but complex and one that represents incidents arousing fear and pity—for that is peculiar to this form of art."[65] This reversal of fortune must be caused by the tragic hero's hamartia, which is often translated as either a character flaw, or as a mistake (since the original Greek etymology traces back to hamartanein, a sporting term that refers to an archer or spear-thrower missing his target).[66] According to Aristotle, "The misfortune is brought about not by [general] vice or depravity, but by some [particular] error or frailty."[67] The reversal is the inevitable but unforeseen result of some action taken by the hero. It is also a misconception that this reversal can be brought about by a higher power (e.g. the law, the gods, fate, or society), but if a character's downfall is brought about by an external cause, Aristotle describes this as a misadventure and not a tragedy.[68]
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In addition, the tragic hero may achieve some revelation or recognition (anagnorisis--"knowing again" or "knowing back" or "knowing throughout") about human fate, destiny, and the will of the gods. Aristotle terms this sort of recognition "a change from ignorance to awareness of a bond of love or hate."
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In Poetics, Aristotle gave the following definition in ancient Greek of the word "tragedy" (τραγῳδία):[69]
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Tragedy is an imitation of an action that is admirable, complete (composed of an introduction, a middle part and an ending), and possesses magnitude; in language made pleasurable, each of its species separated in different parts; performed by actors, not through narration; effecting through pity and fear the purification of such emotions.
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Common usage of tragedy refers to any story with a sad ending, whereas to be an Aristotelian tragedy the story must fit the set of requirements as laid out by Poetics. By this definition social drama cannot be tragic because the hero in it is a victim of circumstance and incidents that depend upon the society in which he lives and not upon the inner compulsions—psychological or religious—which determine his progress towards self-knowledge and death.[70] Exactly what constitutes a "tragedy", however, is a frequently debated matter.
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According to Aristotle, there are four species of tragedy:
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1. Complex, which involves Peripety and Discovery
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2. Suffering, tragedies of such nature can be seen in the Greek mythological stories of Ajaxes and Ixions
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3. Character, a tragedy of moral or ethical character. Tragedies of this nature can be found in Phthiotides and Peleus
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4. Spectacle, that of a horror-like theme. Examples of this nature are Phorcides and Prometheus
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G.W.F. Hegel, the German philosopher most famous for his dialectical approach to epistemology and history, also applied such a methodology to his theory of tragedy. In his essay "Hegel's Theory of Tragedy," A.C. Bradley first introduced the English-speaking world to Hegel's theory, which Bradley called the "tragic collision", and contrasted against the Aristotelian notions of the "tragic hero" and his or her "hamartia" in subsequent analyses of the Aeschylus' Oresteia trilogy and of Sophocles' Antigone.[71] Hegel himself, however, in his seminal "The Phenomenology of Spirit" argues for a more complicated theory of tragedy, with two complementary branches which, though driven by a single dialectical principle, differentiate Greek tragedy from that which follows Shakespeare. His later lectures formulate such a theory of tragedy as a conflict of ethical forces, represented by characters, in ancient Greek tragedy, but in Shakespearean tragedy the conflict is rendered as one of subject and object, of individual personality which must manifest self-destructive passions because only such passions are strong enough to defend the individual from a hostile and capricious external world:
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The heroes of ancient classical tragedy encounter situations in which, if they firmly decide in favor of the one ethical pathos that alone suits their finished character, they must necessarily come into conflict with the equally [gleichberechtigt] justified ethical power that confronts them. Modern characters, on the other hand, stand in a wealth of more accidental circumstances, within which one could act this way or that, so that the conflict is, though occasioned by external preconditions, still essentially grounded in the character. The new individuals, in their passions, obey their own nature... simply because they are what they are. Greek heroes also act in accordance with individuality, but in ancient tragedy such individuality is necessarily... a self-contained ethical pathos... In modern tragedy, however, the character in its peculiarity decides in accordance with subjective desires... such that congruity of character with outward ethical aim no longer constitutes an essential basis of tragic beauty...[72]
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Hegel's comments on a particular play may better elucidate his theory: "Viewed externally, Hamlet's death may be seen to have been brought about accidentally... but in Hamlet's soul, we understand that death has lurked from the beginning: the sandbank of finitude cannot suffice his sorrow and tenderness, such grief and nausea at all conditions of life... we feel he is a man whom inner disgust has almost consumed well before death comes upon him from outside."[73]
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The writer Bharata Muni, in his work on dramatic theory A Treatise on Theatre (Sanskrit: Nātyaśāstra, नाट्य शास्त्र, c. 200 BCE – 200 CE),[74] identified several rasas (such as pity, anger, disgust and terror) in the emotional responses of audiences for the Sanskrit drama of ancient India. The text also suggests the notion of musical modes or jatis which are the origin of the notion of the modern melodic structures known as ragas. Their role in invoking emotions are emphasised; thus compositions emphasising the notes gandhara or rishabha are said to provoke "sadness" or "pathos" (karuna rasa) whereas rishabha evokes heroism (vira rasa). Jatis are elaborated in greater detail in the text Dattilam, composed around the same time as the Treatise.
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The celebrated ancient Indian epic, Mahabharata, can also be related to tragedy in some ways. According to Hermann Oldenberg, the original epic once carried an immense "tragic force".[75] It was common in Sanskrit drama to adapt episodes from the Mahabharata into dramatic form.
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A train is a form of rail transport consisting of a series of connected vehicles that generally run along a railroad (or railway) track to transport passengers or cargo (also known as "freight" or "goods"). The word "train" comes from the Old French trahiner, derived from the Latin trahere meaning "to pull" or "to draw".[1]
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Motive power for a train is provided by a separate locomotive or individual motors in a self-propelled multiple unit. The term "engine" is often used as an alternative to locomotive. Although historically steam propulsion dominated, the most common types of locomotive are diesel and electric, the latter supplied by overhead wires or additional rails. Trains can also be hauled by horses, pulled by engine or water-driven cable or wire winch, run downhill using gravity, or powered by pneumatics, gas turbines or batteries.
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The track usually consists of two running rails with a fixed spacing, which may be supplemented by additional rails such as electric conducting rails and rack rails. Monorails and maglev guideways are also used occasionally.[2]
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A passenger train includes passenger-carrying vehicles and can often be very long and fast. High-speed rail service began expanding rapidly in the late 20th century, and is also a major subject of further development. The term "light rail" is sometimes used to refer to a modern tram system, but it may also mean an intermediate form between a tram and a train, similar to a heavy rail rapid transit system.
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A freight train (or goods train) uses freight cars (or wagons/trucks) to transport goods or materials (cargo). It is possible to carry passengers and freight in the same train using a mixed consist.
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Rail cars and machinery that are used for the maintenance and repair of tracks, are termed "maintenance of way" equipment; these may be assembled into maintenance of way trains. Similarly, dedicated trains may be used to provide support services to stations along a train line, such as garbage or revenue collection.
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There are various types of trains that are designed for particular purposes. A train can consist of a combination of one or more locomotives and attached railroad cars, or a self-propelled multiple unit, or occasionally a single or articulated powered coach called a railcar. Special kinds of train running on corresponding purpose-built "railways" are monorails, high-speed railways, maglev, atmospheric railways, rubber-tired underground, funicular and cog railways.
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A passenger train consists of one or more locomotives and (usually) several coaches. Alternatively, a train may consist entirely of passenger-carrying coaches, some or all of which are powered; this is known as a "multiple unit". In many parts of the world, particularly the Far East and Europe, high-speed rail is used extensively for passenger travel. Freight trains consist of cars, wagons or trucks rather than carriages, though some parcel and mail trains (especially Travelling Post Offices) appear outwardly to be more like passenger trains. Trains can also have mixed consist, with both passenger accommodation and freight vehicles. These mixed trains are most likely to be used for services that run infrequently, where the provision of separate passenger and freight trains would not be cost-effective, but the disparate needs of passengers and freight means that this is avoided where possible. Special trains are also used for track maintenance; in some places, this is called "maintenance of way".
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In the United Kingdom, a train hauled using two locomotives is known as a "double-headed" train. In Canada and the United States, it is quite common for a long freight train to be headed by three or more locomotives. A train with a locomotive attached at both ends is described as "top and tailed", this practice typically being used when there are no reversing facilities available. Where a second locomotive is attached temporarily to assist a train when ascending steep banks or gradients (or to provide braking power for a descent), this is referred to as "banking" in the UK. Many loaded trains in the US are assembled using one or more locomotives in the middle or at the rear of the train, which are then operated remotely from the lead cab. This is referred to as "DP" or "Distributed Power."
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|
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The railway terminology that is used to describe a train varies between countries.
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In the United Kingdom, the interchangeable terms set and unit are used to refer to a group of permanently or semi-permanently coupled vehicles, such as those of a multiple unit. While when referring to a train made up of a variety of vehicles, or of several sets/units, the term formation is used. (Although the UK public and media often forgo formation, for simply train.) The word rake is also used for a group of coaches or wagons.
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Section 83(1) of the UK's Railways Act 1993 defines "train" as follows:
|
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|
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The Atchison, Topeka and Santa Fe Railway's 1948 operating rules define a train as: "An engine or more than one engine coupled, with or without cars, displaying markers."[3]
|
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|
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In North America, Australia and other countries, the term consist (/ˈkɒnsɪst/ KON-sist) is used to describe the group of rail vehicles that make up a train. When specifically referring to motive power, the term refers to the group of locomotives powering the train, as does lash-up. The term trainset refers to a group of rolling stock that is permanently or semi-permanently coupled together to form a unified set of equipment (the term is most often applied to passenger train configurations).
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A bogie (/ˈboʊɡi/ BOH-ghee) is a wheeled wagon or trolley. In mechanics terms, a bogie is a chassis or framework carrying wheels, attached to a vehicle. It can be fixed in place, as on a cargo truck, mounted on a swivel, as on a railway carriage or locomotive, or sprung as in the suspension of a caterpillar tracked vehicle. Usually, two bogies are fitted to each carriage, wagon or locomotive, one at each end. An alternate configuration, which is often used in articulated vehicles, places the bogies (often Jacobs bogies) under the connection between the carriages or wagons. Most bogies have two axles, as this is the simplest design, but some cars designed for extremely heavy loads have been built with up to five axles per bogie. Heavy-duty cars may have more than two bogies using span bolsters to equalize the load and connect the bogies to the cars. Usually, the train floor is at a level above the bogies, but the floor of the car may be lower between bogies, such as for a double decker train to increase interior space while staying within height restrictions, or in easy-access, stepless-entry, low-floor trains.
|
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The first trains were rope-hauled, gravity powered or pulled by horses, but from the early 19th century almost all trains were powered by steam locomotives. From the 1910s onwards, steam locomotives began to be replaced with less labor-intensive (and cleaner) diesel and electric locomotives, although these new forms of propulsion were far more complex and expensive than steam power. At about the same time, self-propelled multiple unit vehicles (both diesel and electric) became much more widely used in passenger service. Dieselisation of locomotives in day-to-day use was completed in most countries by the 1970s. Steam locomotives are still used in heritage railways operated in many countries for the leisure and enthusiast market.[citation needed]
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Electric traction offers a lower cost per mile of train operation but at a higher initial cost, which can only be justified on high traffic lines. Even though the cost per mile of construction is much higher, electric traction is more viable during operation because diesel import costs are substantially higher. Electric trains receive their current via overhead lines or through a third rail electric system.[citation needed]
|
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A developing technology is fuel cells, which combine the advantage of not needing an electrical system in place, with the advantage of emissionless operation. However, an impediment is substantial initial cost associated with fuel cell vehicles.[4]
|
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|
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+
A passenger train includes passenger-carrying vehicles and can often be very long and fast. It may be a self-powered multiple unit or railcar, or else a combination of one or more locomotives and one or more unpowered trailers known as coaches, cars or carriages. Passenger trains travel between stations or depots, where passengers may board and disembark. In most cases, passenger trains operate on a fixed schedule and have superior track occupancy rights over freight trains.
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Unlike freight trains, passenger trains must supply head-end power to each coach for lighting and heating, among other purposes. This can be drawn directly from the locomotive's prime mover (modified for the purpose), or from a separate diesel generator in the locomotive. For passenger service on remote routes where a head-end-equipped locomotive may not always be available, a separate generator van may be used.[5][6]
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Oversight of a passenger train is the responsibility of the conductor. He or she is sometimes assisted by other crew members, such as service attendants or porters. During the heyday of North American passenger rail travel, long-distance trains carried two conductors: the aforementioned train conductor, and a Pullman conductor, the latter being in charge of sleeping car personnel.
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Many prestigious passenger train services have been given a specific name, some of which have become famous in literature and fiction. In past years, railroaders often referred to passenger trains as the "varnish", alluding to the bygone days of wooden-bodied coaches with their lustrous exterior finishes and fancy livery. "Blocking the varnish" meant a slow-moving freight train was obstructing a fast passenger train, causing delays.
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Some passenger trains, both long-distance and short-distance, may use bi-level (double-decker) cars to carry more passengers per train. Car design and the general safety of passenger trains have dramatically evolved over time, making travel by rail remarkably safe.
|
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Long-distance trains travel between many cities or regions of a country, and sometimes cross several countries. They often have a dining car or restaurant car to allow passengers to have a meal during the course of their journey. Trains travelling overnight may also have sleeping cars. Currently much of travel on these distances of over 500 miles (800 km) is done by air in many countries but in others long-distance travel by rail is a popular or the only cheap way to travel long distances.
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One notable and growing long-distance train category is high-speed rail, which generally runs at speeds above 200 km/h (120 mph) and often operates on dedicated track that is surveyed and prepared to accommodate high speeds. The first successful example of a high-speed passenger rail system was Japan's Shinkansen, colloquially known as the "bullet train", which commenced operation in October 1964.
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The fastest wheeled train running on rails is France's TGV (Train à Grande Vitesse, literally "high speed train") which, under test conditions in 2007, achieved a speed of 574.8 km/h (357.2 mph), twice the takeoff speed of a Boeing 727 airliner. The TGV runs at a maximum revenue speed of 300–320 km/h (190–200 mph), as does Germany's ICE (Inter-City Express) and Spain's AVE (Alta Velocidad Española). The highest speed currently attained in scheduled revenue operation is 350 km/h (220 mph) on the Beijing–Tianjin Intercity Rail and Wuhan–Guangzhou High-Speed Railway systems in China.
|
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In most cases, high-speed rail travel is time- and cost-competitive with air travel when distances do not exceed 500 to 600 km (310 to 370 mi), as airport check-in and boarding procedures can add at least two hours to the overall transit time.[8] Also, rail operating costs over these distances may be lower when the amount of jet fuel consumed by an airliner during takeoff and climbout is taken into consideration. Air travel becomes more cost-competitive as the travel distance increases because the fuel accounts for less of the overall operating cost of the airliner.
|
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Some high-speed rail systems employ tilting technology to improve stability in curves. Examples of tilting trains are the Advanced Passenger Train (APT), the Pendolino, the N700 Series Shinkansen, Amtrak's Acela and the Spanish Talgo. Tilting is a dynamic form of superelevation, allowing both low- and high-speed traffic to use the same trackage (though not simultaneously), as well as producing a more comfortable ride for passengers.
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"Inter-city" is a general term for any rail service that uses trains with limited stops to provide fast long-distance travel. Inter-city services can be divided into three major groups:
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The distinction between the three types of inter-city rail service may be unclear; trains can run as InterCity services between major cities, then revert to an express (or even regional) train service to reach communities at the furthest points of the journey. This practice allows marginal communities to be served in the most cost-effective way, at the expense of a longer journey time for those wishing to travel to the terminus station.
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Regional trains usually connect between towns and cities, serving smaller urban (and some rural) communities en route. These services are provided to meet local traffic demand in less accessible areas.
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Higher-speed rail is a special category of trains. The trains for higher-speed rail services can operate at top speeds that are higher than conventional inter-city trains but the speeds are not as high as those in the high-speed rail services. These services are provided after improvements to the conventional rail infrastructure to support trains that can operate safely at higher speeds.
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For shorter distances many cities have networks of commuter trains (also known as suburban trains) serving the city and its suburbs. Trains are a very efficient mode of transport to cope with large traffic demand in a metropolis. Compared with road transport, it carries many people with much smaller land area and little air pollution. Commuter rail also travels longer ranges compared to rapid transit systems with comparatively less frequency and may share tracks with other trains.[10]
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Some carriages may be laid out to have more standing room than seats, or to facilitate the carrying of prams, cycles or wheelchairs. Some countries have double-decked passenger trains for use in conurbations. Double deck high speed and sleeper trains are becoming more common in mainland Europe.
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Sometimes extreme congestion of commuter trains can become a problem. For example, an estimated 3.5 million passengers ride every day on Yamanote Line in Tokyo, Japan, with its 29 stations. For comparison, the New York City Subway carries 5.7 million passengers per day on 28 services serving 472 stations. To cope with large traffic, special cars in which the bench seats fold up to provide standing room only during the morning rush hour (until 10 a.m.) are operated in Tokyo (E231 series train). In the past this train has included 2 cars with six doors on each side to shorten the time for passengers to get on and off at station.
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Passenger trains usually have emergency brake handles (or a "communication cord") that the public can operate, should an emergency occur (like if someone is stuck on the train doors). This causes the train the emergency cord is pulled in, and in some cases, all the trains in the area to stop. Because the emergency brake cord can stop all the trains in the area to stop causing delays, anyone misusing the emergency brake cord will be punished with heavy fines.
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Various commuter and suburban train operators (e.g. Sydney Trains, NJ Transit, Paris RER) use double-decker trains. Double-decker trains offer increased capacity even when running less services.[11]
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Large cities often have a rapid transit system, also called "metro", "underground", "subway" or "tube". The trains are electrically powered, usually by third rail, and their railroads are separate from other traffic, usually without level crossings. Usually they run in tunnels in the city center and sometimes on elevated structures in the outer parts of the city. They can accelerate and decelerate faster than heavier, long-distance trains.
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The general term "rapid transit" is used for public transport such as commuter trains, metro and light rail. However, services on the New York City Subway have been referred to as "trains", while services on the London Underground are commonly referred to as "tube trains" or "tubes".
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In the UK, the distinction between a tramway and a railway is precise and defined in law. In Canada and the US, such street railways are referred to as trolleys or streetcars. The key physical difference between a railroad and a trolley system is that the latter runs primarily on public streets, whereas trains have a right-of-way separated from the public streets. Often the US-style interurban and modern light rail are confused with a trolley system, as it too may run on the street for short or medium-length sections. In some languages, the word tram also refers to interurban and light rail-style networks, in particular Dutch.
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The length of a tram or trolley may be determined by national regulations. Germany has the so-called Bo-Strab standard, restricting the length of a tram to 75 meters, while in the US, vehicle length is normally restricted by local authorities, often allowing only a single type of vehicle to operate on the network.
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The term "light rail" is sometimes used for a modern tram system, despite light rail lines commonly having a mostly exclusive right-of-way, more similar to that of a heavy-rail line and less like that of a tramway. It may also mean an intermediate form between a tram and a train, similar to a subway, except that it may have level crossings which are then usually protected with crossing gates. In US terminology, these systems are often referred to as "inter-urban" because they connect larger urban areas in the vicinity of a major city to the center of the city. Modern light rail systems often use abandoned heavy rail rights-of-way (e.g. former railway lines) to revitalize deprived areas and redevelopment sites in and around large agglomerations.
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Monorails were developed to meet medium-demand traffic in urban transit, and consist of a train running on a single rail, typically elevated. Monorails represent a relatively small part of the overall railway field. Almost all monorail trains use linear induction motors.[12][13]
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To achieve much faster operation over 500 km/h (310 mph), innovative maglev technology has been researched since the early 20th century. The technology uses magnets to levitate the train above the track, reducing friction and allowing higher speeds. An early prototype was demonstrated in 1913. The first commercial maglev train was an airport shuttle introduced in 1984 at Birmingham Airport in England.
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The Shanghai Maglev Train, opened in 2003, is the fastest commercial train service of any kind, operating at speeds of up to 430 km/h (270 mph). Maglev has not yet been used for inter-city mass transit routes.
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A railcar, in British English and Australian English, is a self-propelled railway vehicle designed to transport passengers. The term "railcar" is usually used in reference to a train consisting of a single coach (carriage, car), with a driver's cab at one or both ends. Some railways, e.g., the Great Western Railway, used the term Railmotor. If it is able to pull a full train, it is rather called a motor coach or a motor car.[14] The term is sometimes also used as an alternative name for the small types of multiple unit which consist of more than one coach.
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Railway companies often give a name to a train service as a marketing exercise, to attract more passengers and gain recognition for the company. Naming is usually reserved for the most prestigious services, such as high-speed express trains that run between major cities, stopping at few intermediate stations, or for particularly luxurious trains.
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The names of special passenger trains have passed into popular culture: the Orient Express has been a setting for films and other works of fiction. The Flying Scotsman, Golden Arrow, and Royal Scot are examples of famous British trains; the Texas Eagle and California Zephyr are particularly well known in the US; and the Red Arrow is a celebrated Russian sleeper train. In India, some of the popular specially-named train services are the Brindavan Express (Chennai–Bengaluru), Deccan Queen (Mumbai CST–Pune), and Flying Ranee (Mumbai Central–Surat).
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A less common practice is the naming of freight trains, for the same commercial reasons. In the 1960s, the "Condor" was an overnight London–Glasgow express goods train, hauled by pairs of "Metrovick" diesel locomotives. In the mid-1960s, British Rail introduced the "Freightliner" brand, for the new train services carrying containers between dedicated terminals around the rail network. The Rev. W. Awdry also named freight trains, coining the name "Flying Kipper" for the overnight express fish train that appeared in his stories in The Railway Series books.
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Airport trains transport people between terminals within an airport complex.
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Heritage trains are operated by volunteers, often railfans, as a tourist attraction. Usually trains are formed from historic vehicles retired from national commercial operation.
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Mine trains are operated in large mines and carry both workers and goods.
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Overland trains are used to carry cargo over rough terrain.
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A freight train (or "goods train") uses freight cars or wagons (also known as "trucks" or "goods wagons") to transport goods or materials (cargo) – essentially any train that is not used for carrying passengers. Much of the world's freight is transported by train, and the rail system in the US is used mostly for transporting freight rather than passengers.
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Under the right circumstances, transporting freight by train is highly economic, and also more energy efficient than transporting freight by road. Rail freight is most economic when goods are being carried in bulk and over large distances, but it is less suited to short distances and small loads. Bulk aggregate movements of a mere twenty miles (32 km) can be cost effective, even allowing for trans-shipment costs which dominate in many cases; modern practices such as intermodal container freight are aimed at minimizing these costs.
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The main disadvantage of rail freight is its lack of flexibility and for this reason, rail has lost much of the freight business to road competition. Many governments are trying to encourage more freight back onto trains because of the benefits that it would bring.
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There are many different types of freight train, used for carrying a huge variety of different kinds of freight, with various types of wagon. One of the most common types on modern railways are intermodal (container) trains, where the containers can be lifted on and off the train by cranes and loaded off or onto trucks or ships. In the US, this type of freight train has largely superseded the traditional boxcar (wagon-load) type of freight train, which requires the cargo to be loaded or unloaded manually. In Europe the sliding wall wagon has taken over from the ordinary covered goods wagon.
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In some countries "piggy-back" trains or rolling highways are used. In the latter case trucks can drive straight onto the train and drive off again when the end destination is reached. A system like this is used through the Channel Tunnel between England and France, and for the trans-Alpine service between France and Italy (this service uses Modalohr road trailer carriers). "Piggy-back" trains are the fastest growing type of freight train in the US, where they are also known as "trailer on flatcar" or TOFC trains. Piggy-back trains require no special modifications to the vehicles being carried. An alternative type of "intermodal" vehicle, known as a roadrailer, is designed to be physically attached to the train. The original trailers were fitted with two sets of wheels: one set flanged, for the trailer to run connected to other such trailers as a rail vehicle in a train; and one set with tires, for use as the semi-trailer of a road vehicle. More modern trailers have only road wheels and are designed to be carried on specially adapted bogies (trucks) when moving on rails.
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There are also many other types of wagon, such as "low loader" wagons or well wagons for transporting road vehicles. There are refrigerator cars for transporting foods such as ice cream. There are simple types of open-topped wagons for transporting minerals and bulk material such as coal, and tankers for transporting liquids and gases. Today, however, most coal and aggregates are moved in hopper wagons that can be filled and discharged rapidly, to enable efficient handling of the materials.
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Freight trains are sometimes illegally boarded by passengers who want a free ride, or do not have the money to travel by ordinary means. This is referred to as "freighthopping." A common way of boarding the train illegally is by sneaking into a train yard and stowing away in an unattended boxcar; a more dangerous practice is trying to catch a train "on the fly", that is, while it is moving, leading to occasional fatalities. Railroads treat it as trespassing and may prosecute it as such.
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A train is a form of rail transport consisting of a series of connected vehicles that generally run along a railroad (or railway) track to transport passengers or cargo (also known as "freight" or "goods"). The word "train" comes from the Old French trahiner, derived from the Latin trahere meaning "to pull" or "to draw".[1]
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Motive power for a train is provided by a separate locomotive or individual motors in a self-propelled multiple unit. The term "engine" is often used as an alternative to locomotive. Although historically steam propulsion dominated, the most common types of locomotive are diesel and electric, the latter supplied by overhead wires or additional rails. Trains can also be hauled by horses, pulled by engine or water-driven cable or wire winch, run downhill using gravity, or powered by pneumatics, gas turbines or batteries.
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The track usually consists of two running rails with a fixed spacing, which may be supplemented by additional rails such as electric conducting rails and rack rails. Monorails and maglev guideways are also used occasionally.[2]
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A passenger train includes passenger-carrying vehicles and can often be very long and fast. High-speed rail service began expanding rapidly in the late 20th century, and is also a major subject of further development. The term "light rail" is sometimes used to refer to a modern tram system, but it may also mean an intermediate form between a tram and a train, similar to a heavy rail rapid transit system.
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A freight train (or goods train) uses freight cars (or wagons/trucks) to transport goods or materials (cargo). It is possible to carry passengers and freight in the same train using a mixed consist.
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Rail cars and machinery that are used for the maintenance and repair of tracks, are termed "maintenance of way" equipment; these may be assembled into maintenance of way trains. Similarly, dedicated trains may be used to provide support services to stations along a train line, such as garbage or revenue collection.
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There are various types of trains that are designed for particular purposes. A train can consist of a combination of one or more locomotives and attached railroad cars, or a self-propelled multiple unit, or occasionally a single or articulated powered coach called a railcar. Special kinds of train running on corresponding purpose-built "railways" are monorails, high-speed railways, maglev, atmospheric railways, rubber-tired underground, funicular and cog railways.
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A passenger train consists of one or more locomotives and (usually) several coaches. Alternatively, a train may consist entirely of passenger-carrying coaches, some or all of which are powered; this is known as a "multiple unit". In many parts of the world, particularly the Far East and Europe, high-speed rail is used extensively for passenger travel. Freight trains consist of cars, wagons or trucks rather than carriages, though some parcel and mail trains (especially Travelling Post Offices) appear outwardly to be more like passenger trains. Trains can also have mixed consist, with both passenger accommodation and freight vehicles. These mixed trains are most likely to be used for services that run infrequently, where the provision of separate passenger and freight trains would not be cost-effective, but the disparate needs of passengers and freight means that this is avoided where possible. Special trains are also used for track maintenance; in some places, this is called "maintenance of way".
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In the United Kingdom, a train hauled using two locomotives is known as a "double-headed" train. In Canada and the United States, it is quite common for a long freight train to be headed by three or more locomotives. A train with a locomotive attached at both ends is described as "top and tailed", this practice typically being used when there are no reversing facilities available. Where a second locomotive is attached temporarily to assist a train when ascending steep banks or gradients (or to provide braking power for a descent), this is referred to as "banking" in the UK. Many loaded trains in the US are assembled using one or more locomotives in the middle or at the rear of the train, which are then operated remotely from the lead cab. This is referred to as "DP" or "Distributed Power."
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The railway terminology that is used to describe a train varies between countries.
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In the United Kingdom, the interchangeable terms set and unit are used to refer to a group of permanently or semi-permanently coupled vehicles, such as those of a multiple unit. While when referring to a train made up of a variety of vehicles, or of several sets/units, the term formation is used. (Although the UK public and media often forgo formation, for simply train.) The word rake is also used for a group of coaches or wagons.
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Section 83(1) of the UK's Railways Act 1993 defines "train" as follows:
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The Atchison, Topeka and Santa Fe Railway's 1948 operating rules define a train as: "An engine or more than one engine coupled, with or without cars, displaying markers."[3]
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In North America, Australia and other countries, the term consist (/ˈkɒnsɪst/ KON-sist) is used to describe the group of rail vehicles that make up a train. When specifically referring to motive power, the term refers to the group of locomotives powering the train, as does lash-up. The term trainset refers to a group of rolling stock that is permanently or semi-permanently coupled together to form a unified set of equipment (the term is most often applied to passenger train configurations).
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A bogie (/ˈboʊɡi/ BOH-ghee) is a wheeled wagon or trolley. In mechanics terms, a bogie is a chassis or framework carrying wheels, attached to a vehicle. It can be fixed in place, as on a cargo truck, mounted on a swivel, as on a railway carriage or locomotive, or sprung as in the suspension of a caterpillar tracked vehicle. Usually, two bogies are fitted to each carriage, wagon or locomotive, one at each end. An alternate configuration, which is often used in articulated vehicles, places the bogies (often Jacobs bogies) under the connection between the carriages or wagons. Most bogies have two axles, as this is the simplest design, but some cars designed for extremely heavy loads have been built with up to five axles per bogie. Heavy-duty cars may have more than two bogies using span bolsters to equalize the load and connect the bogies to the cars. Usually, the train floor is at a level above the bogies, but the floor of the car may be lower between bogies, such as for a double decker train to increase interior space while staying within height restrictions, or in easy-access, stepless-entry, low-floor trains.
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The first trains were rope-hauled, gravity powered or pulled by horses, but from the early 19th century almost all trains were powered by steam locomotives. From the 1910s onwards, steam locomotives began to be replaced with less labor-intensive (and cleaner) diesel and electric locomotives, although these new forms of propulsion were far more complex and expensive than steam power. At about the same time, self-propelled multiple unit vehicles (both diesel and electric) became much more widely used in passenger service. Dieselisation of locomotives in day-to-day use was completed in most countries by the 1970s. Steam locomotives are still used in heritage railways operated in many countries for the leisure and enthusiast market.[citation needed]
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Electric traction offers a lower cost per mile of train operation but at a higher initial cost, which can only be justified on high traffic lines. Even though the cost per mile of construction is much higher, electric traction is more viable during operation because diesel import costs are substantially higher. Electric trains receive their current via overhead lines or through a third rail electric system.[citation needed]
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A developing technology is fuel cells, which combine the advantage of not needing an electrical system in place, with the advantage of emissionless operation. However, an impediment is substantial initial cost associated with fuel cell vehicles.[4]
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A passenger train includes passenger-carrying vehicles and can often be very long and fast. It may be a self-powered multiple unit or railcar, or else a combination of one or more locomotives and one or more unpowered trailers known as coaches, cars or carriages. Passenger trains travel between stations or depots, where passengers may board and disembark. In most cases, passenger trains operate on a fixed schedule and have superior track occupancy rights over freight trains.
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Unlike freight trains, passenger trains must supply head-end power to each coach for lighting and heating, among other purposes. This can be drawn directly from the locomotive's prime mover (modified for the purpose), or from a separate diesel generator in the locomotive. For passenger service on remote routes where a head-end-equipped locomotive may not always be available, a separate generator van may be used.[5][6]
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Oversight of a passenger train is the responsibility of the conductor. He or she is sometimes assisted by other crew members, such as service attendants or porters. During the heyday of North American passenger rail travel, long-distance trains carried two conductors: the aforementioned train conductor, and a Pullman conductor, the latter being in charge of sleeping car personnel.
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Many prestigious passenger train services have been given a specific name, some of which have become famous in literature and fiction. In past years, railroaders often referred to passenger trains as the "varnish", alluding to the bygone days of wooden-bodied coaches with their lustrous exterior finishes and fancy livery. "Blocking the varnish" meant a slow-moving freight train was obstructing a fast passenger train, causing delays.
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Some passenger trains, both long-distance and short-distance, may use bi-level (double-decker) cars to carry more passengers per train. Car design and the general safety of passenger trains have dramatically evolved over time, making travel by rail remarkably safe.
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Long-distance trains travel between many cities or regions of a country, and sometimes cross several countries. They often have a dining car or restaurant car to allow passengers to have a meal during the course of their journey. Trains travelling overnight may also have sleeping cars. Currently much of travel on these distances of over 500 miles (800 km) is done by air in many countries but in others long-distance travel by rail is a popular or the only cheap way to travel long distances.
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One notable and growing long-distance train category is high-speed rail, which generally runs at speeds above 200 km/h (120 mph) and often operates on dedicated track that is surveyed and prepared to accommodate high speeds. The first successful example of a high-speed passenger rail system was Japan's Shinkansen, colloquially known as the "bullet train", which commenced operation in October 1964.
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The fastest wheeled train running on rails is France's TGV (Train à Grande Vitesse, literally "high speed train") which, under test conditions in 2007, achieved a speed of 574.8 km/h (357.2 mph), twice the takeoff speed of a Boeing 727 airliner. The TGV runs at a maximum revenue speed of 300–320 km/h (190–200 mph), as does Germany's ICE (Inter-City Express) and Spain's AVE (Alta Velocidad Española). The highest speed currently attained in scheduled revenue operation is 350 km/h (220 mph) on the Beijing–Tianjin Intercity Rail and Wuhan–Guangzhou High-Speed Railway systems in China.
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In most cases, high-speed rail travel is time- and cost-competitive with air travel when distances do not exceed 500 to 600 km (310 to 370 mi), as airport check-in and boarding procedures can add at least two hours to the overall transit time.[8] Also, rail operating costs over these distances may be lower when the amount of jet fuel consumed by an airliner during takeoff and climbout is taken into consideration. Air travel becomes more cost-competitive as the travel distance increases because the fuel accounts for less of the overall operating cost of the airliner.
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Some high-speed rail systems employ tilting technology to improve stability in curves. Examples of tilting trains are the Advanced Passenger Train (APT), the Pendolino, the N700 Series Shinkansen, Amtrak's Acela and the Spanish Talgo. Tilting is a dynamic form of superelevation, allowing both low- and high-speed traffic to use the same trackage (though not simultaneously), as well as producing a more comfortable ride for passengers.
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"Inter-city" is a general term for any rail service that uses trains with limited stops to provide fast long-distance travel. Inter-city services can be divided into three major groups:
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The distinction between the three types of inter-city rail service may be unclear; trains can run as InterCity services between major cities, then revert to an express (or even regional) train service to reach communities at the furthest points of the journey. This practice allows marginal communities to be served in the most cost-effective way, at the expense of a longer journey time for those wishing to travel to the terminus station.
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Regional trains usually connect between towns and cities, serving smaller urban (and some rural) communities en route. These services are provided to meet local traffic demand in less accessible areas.
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Higher-speed rail is a special category of trains. The trains for higher-speed rail services can operate at top speeds that are higher than conventional inter-city trains but the speeds are not as high as those in the high-speed rail services. These services are provided after improvements to the conventional rail infrastructure to support trains that can operate safely at higher speeds.
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For shorter distances many cities have networks of commuter trains (also known as suburban trains) serving the city and its suburbs. Trains are a very efficient mode of transport to cope with large traffic demand in a metropolis. Compared with road transport, it carries many people with much smaller land area and little air pollution. Commuter rail also travels longer ranges compared to rapid transit systems with comparatively less frequency and may share tracks with other trains.[10]
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Some carriages may be laid out to have more standing room than seats, or to facilitate the carrying of prams, cycles or wheelchairs. Some countries have double-decked passenger trains for use in conurbations. Double deck high speed and sleeper trains are becoming more common in mainland Europe.
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Sometimes extreme congestion of commuter trains can become a problem. For example, an estimated 3.5 million passengers ride every day on Yamanote Line in Tokyo, Japan, with its 29 stations. For comparison, the New York City Subway carries 5.7 million passengers per day on 28 services serving 472 stations. To cope with large traffic, special cars in which the bench seats fold up to provide standing room only during the morning rush hour (until 10 a.m.) are operated in Tokyo (E231 series train). In the past this train has included 2 cars with six doors on each side to shorten the time for passengers to get on and off at station.
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Passenger trains usually have emergency brake handles (or a "communication cord") that the public can operate, should an emergency occur (like if someone is stuck on the train doors). This causes the train the emergency cord is pulled in, and in some cases, all the trains in the area to stop. Because the emergency brake cord can stop all the trains in the area to stop causing delays, anyone misusing the emergency brake cord will be punished with heavy fines.
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Various commuter and suburban train operators (e.g. Sydney Trains, NJ Transit, Paris RER) use double-decker trains. Double-decker trains offer increased capacity even when running less services.[11]
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Large cities often have a rapid transit system, also called "metro", "underground", "subway" or "tube". The trains are electrically powered, usually by third rail, and their railroads are separate from other traffic, usually without level crossings. Usually they run in tunnels in the city center and sometimes on elevated structures in the outer parts of the city. They can accelerate and decelerate faster than heavier, long-distance trains.
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The general term "rapid transit" is used for public transport such as commuter trains, metro and light rail. However, services on the New York City Subway have been referred to as "trains", while services on the London Underground are commonly referred to as "tube trains" or "tubes".
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In the UK, the distinction between a tramway and a railway is precise and defined in law. In Canada and the US, such street railways are referred to as trolleys or streetcars. The key physical difference between a railroad and a trolley system is that the latter runs primarily on public streets, whereas trains have a right-of-way separated from the public streets. Often the US-style interurban and modern light rail are confused with a trolley system, as it too may run on the street for short or medium-length sections. In some languages, the word tram also refers to interurban and light rail-style networks, in particular Dutch.
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The length of a tram or trolley may be determined by national regulations. Germany has the so-called Bo-Strab standard, restricting the length of a tram to 75 meters, while in the US, vehicle length is normally restricted by local authorities, often allowing only a single type of vehicle to operate on the network.
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The term "light rail" is sometimes used for a modern tram system, despite light rail lines commonly having a mostly exclusive right-of-way, more similar to that of a heavy-rail line and less like that of a tramway. It may also mean an intermediate form between a tram and a train, similar to a subway, except that it may have level crossings which are then usually protected with crossing gates. In US terminology, these systems are often referred to as "inter-urban" because they connect larger urban areas in the vicinity of a major city to the center of the city. Modern light rail systems often use abandoned heavy rail rights-of-way (e.g. former railway lines) to revitalize deprived areas and redevelopment sites in and around large agglomerations.
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Monorails were developed to meet medium-demand traffic in urban transit, and consist of a train running on a single rail, typically elevated. Monorails represent a relatively small part of the overall railway field. Almost all monorail trains use linear induction motors.[12][13]
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To achieve much faster operation over 500 km/h (310 mph), innovative maglev technology has been researched since the early 20th century. The technology uses magnets to levitate the train above the track, reducing friction and allowing higher speeds. An early prototype was demonstrated in 1913. The first commercial maglev train was an airport shuttle introduced in 1984 at Birmingham Airport in England.
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The Shanghai Maglev Train, opened in 2003, is the fastest commercial train service of any kind, operating at speeds of up to 430 km/h (270 mph). Maglev has not yet been used for inter-city mass transit routes.
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A railcar, in British English and Australian English, is a self-propelled railway vehicle designed to transport passengers. The term "railcar" is usually used in reference to a train consisting of a single coach (carriage, car), with a driver's cab at one or both ends. Some railways, e.g., the Great Western Railway, used the term Railmotor. If it is able to pull a full train, it is rather called a motor coach or a motor car.[14] The term is sometimes also used as an alternative name for the small types of multiple unit which consist of more than one coach.
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Railway companies often give a name to a train service as a marketing exercise, to attract more passengers and gain recognition for the company. Naming is usually reserved for the most prestigious services, such as high-speed express trains that run between major cities, stopping at few intermediate stations, or for particularly luxurious trains.
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The names of special passenger trains have passed into popular culture: the Orient Express has been a setting for films and other works of fiction. The Flying Scotsman, Golden Arrow, and Royal Scot are examples of famous British trains; the Texas Eagle and California Zephyr are particularly well known in the US; and the Red Arrow is a celebrated Russian sleeper train. In India, some of the popular specially-named train services are the Brindavan Express (Chennai–Bengaluru), Deccan Queen (Mumbai CST–Pune), and Flying Ranee (Mumbai Central–Surat).
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A less common practice is the naming of freight trains, for the same commercial reasons. In the 1960s, the "Condor" was an overnight London–Glasgow express goods train, hauled by pairs of "Metrovick" diesel locomotives. In the mid-1960s, British Rail introduced the "Freightliner" brand, for the new train services carrying containers between dedicated terminals around the rail network. The Rev. W. Awdry also named freight trains, coining the name "Flying Kipper" for the overnight express fish train that appeared in his stories in The Railway Series books.
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Airport trains transport people between terminals within an airport complex.
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Heritage trains are operated by volunteers, often railfans, as a tourist attraction. Usually trains are formed from historic vehicles retired from national commercial operation.
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Mine trains are operated in large mines and carry both workers and goods.
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Overland trains are used to carry cargo over rough terrain.
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A freight train (or "goods train") uses freight cars or wagons (also known as "trucks" or "goods wagons") to transport goods or materials (cargo) – essentially any train that is not used for carrying passengers. Much of the world's freight is transported by train, and the rail system in the US is used mostly for transporting freight rather than passengers.
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Under the right circumstances, transporting freight by train is highly economic, and also more energy efficient than transporting freight by road. Rail freight is most economic when goods are being carried in bulk and over large distances, but it is less suited to short distances and small loads. Bulk aggregate movements of a mere twenty miles (32 km) can be cost effective, even allowing for trans-shipment costs which dominate in many cases; modern practices such as intermodal container freight are aimed at minimizing these costs.
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The main disadvantage of rail freight is its lack of flexibility and for this reason, rail has lost much of the freight business to road competition. Many governments are trying to encourage more freight back onto trains because of the benefits that it would bring.
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There are many different types of freight train, used for carrying a huge variety of different kinds of freight, with various types of wagon. One of the most common types on modern railways are intermodal (container) trains, where the containers can be lifted on and off the train by cranes and loaded off or onto trucks or ships. In the US, this type of freight train has largely superseded the traditional boxcar (wagon-load) type of freight train, which requires the cargo to be loaded or unloaded manually. In Europe the sliding wall wagon has taken over from the ordinary covered goods wagon.
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In some countries "piggy-back" trains or rolling highways are used. In the latter case trucks can drive straight onto the train and drive off again when the end destination is reached. A system like this is used through the Channel Tunnel between England and France, and for the trans-Alpine service between France and Italy (this service uses Modalohr road trailer carriers). "Piggy-back" trains are the fastest growing type of freight train in the US, where they are also known as "trailer on flatcar" or TOFC trains. Piggy-back trains require no special modifications to the vehicles being carried. An alternative type of "intermodal" vehicle, known as a roadrailer, is designed to be physically attached to the train. The original trailers were fitted with two sets of wheels: one set flanged, for the trailer to run connected to other such trailers as a rail vehicle in a train; and one set with tires, for use as the semi-trailer of a road vehicle. More modern trailers have only road wheels and are designed to be carried on specially adapted bogies (trucks) when moving on rails.
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There are also many other types of wagon, such as "low loader" wagons or well wagons for transporting road vehicles. There are refrigerator cars for transporting foods such as ice cream. There are simple types of open-topped wagons for transporting minerals and bulk material such as coal, and tankers for transporting liquids and gases. Today, however, most coal and aggregates are moved in hopper wagons that can be filled and discharged rapidly, to enable efficient handling of the materials.
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Freight trains are sometimes illegally boarded by passengers who want a free ride, or do not have the money to travel by ordinary means. This is referred to as "freighthopping." A common way of boarding the train illegally is by sneaking into a train yard and stowing away in an unattended boxcar; a more dangerous practice is trying to catch a train "on the fly", that is, while it is moving, leading to occasional fatalities. Railroads treat it as trespassing and may prosecute it as such.
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1 |
+
|
2 |
+
|
3 |
+
|
4 |
+
|
5 |
+
Slavery is any system in which principles of property law are applied to people, allowing individuals to own, buy and sell other individuals, as a de jure form of property.[1] An enslaved person is unable to withdraw unilaterally from such an arrangement and works without remuneration. Many scholars now use the term chattel slavery to refer to this specific sense of legalized, de jure slavery.
|
6 |
+
|
7 |
+
In a broader sense, however, the word "slavery" may also refer to any situation in which an individual is de facto forced to work against their own will. To describe such circumstances, scholars may use such alternate terms as unfree labour or forced labour.[2]
|
8 |
+
|
9 |
+
Under the broader use of the term slavery, but also in certain cases of actual de jure (chattel) slavery, local laws and/or customs may vest the enslaved with limited rights and protections.
|
10 |
+
|
11 |
+
Slavery has existed in many cultures, dating back to early human civilizations.[3] It was legal in most societies at some time in the past but is now outlawed in all recognized countries.[4][5] Nevertheless, as of 2019 there were an estimated 40 million people worldwide subject to some form of slavery, 25% of them children.[6] More than half of modern slaves are used for forced labor, mostly in the private sector.[6] The most common form of modern slave trade is commonly referred to as human trafficking. In some areas of the world, slavery continues through practices such as debt bondage, the most common source of modern slaves;[2] serfdom; domestic servants kept in captivity; certain adoptions in which children are forced to work as slaves; child soldiers; and forced marriage.[7]
|
12 |
+
|
13 |
+
The word slave is derived from the ethnonym (ethnic name) Slav.[8][9][10] It arrived in English via the Old French sclave. In Medieval Latin the word was sclavus and in Byzantine Greek σκλάβος.[8] Use of the word arose during the Early Medieval Period, when Slavs from Central and Eastern Europe (Saqaliba) were frequently enslaved by Moors from the Iberian Peninsula and North Africa.[11][12][13] An older interpretation connected slave to the Greek verb skyleúo 'to strip a slain enemy'.[14]
|
14 |
+
|
15 |
+
There is a dispute among historians about whether terms such as "unfree labourer" or enslaved person, rather than "slave", should be used when describing the victims of slavery. According to those proposing a change in terminology, slave perpetuates the crime of slavery in language; by reducing its victims to a nonhuman noun instead of "carry[ing] them forward as people, not the property that they were". Other historians prefer slave because the term is familiar and shorter, or because it accurately reflects the inhumanity of slavery, with "person" implying a degree of autonomy that slavery does not allow.[15]
|
16 |
+
|
17 |
+
Indenture, otherwise known as bonded labour or debt bondage, is a form of unfree labour under which a person pledges himself or herself against a loan.[16] The services required to repay the debt, and their duration, may be undefined.[16] Debt bondage can be passed on from generation to generation, with children required to pay off their progenitors' debt.[16] It is the most widespread form of slavery today.[2] Debt bondage is most prevalent in South Asia.[17]
|
18 |
+
|
19 |
+
Chattel slavery, also called traditional slavery, is so named because people are treated as the chattel (personal property) of the owner and are bought and sold as commodities. Typically, under the chattel slave system, children inherited slave status via the mother (partus sequitur ventrem).[18] Although it dominated many different societies throughout human history, this form of slavery has been formally abolished and is very rare today. Even when it can be said to survive, it is not upheld by the legal system of any internationally recognized government.[19]
|
20 |
+
|
21 |
+
"Slavery" has also been used to refer to a legal state of dependency to somebody else.[20][21] For example, in Persia, the situations and lives of such slaves could be better than those of common citizens.[22]
|
22 |
+
|
23 |
+
Forced labour, or unfree labour, is sometimes used to describe an individual who is forced to work against their own will, under threat of violence or other punishment, but the generic term unfree labour is also used to describe chattel slavery, as well as any other situation in which a person is obliged to work against their own will, and a person's ability to work productively is under the complete control of another person.[2] This may also include institutions not commonly classified as slavery, such as serfdom, conscription and penal labour. While some unfree labourers, such as serfs, have substantive, de jure legal or traditional rights, they also have no ability to terminate the arrangements under which they work and are frequently subject to forms of coercion, violence, and restrictions on their activities and movement outside their place of work.
|
24 |
+
|
25 |
+
Human trafficking primarily involves women and children forced into prostitution and is the fastest growing form of forced labour, with Thailand, Cambodia, India, Brazil and Mexico having been identified as leading hotspots of commercial sexual exploitation of children.[2][23][24] Examples of sexual slavery, often in military contexts, include detention in "rape camps" or "comfort stations," "comfort women", forced "marriages" to soldiers and other practices involving the treatment of women or men as chattel and, as such, violations of the peremptory norm prohibiting slavery.[25][26][27][28]
|
26 |
+
|
27 |
+
In 2007, Human Rights Watch estimated that 200,000 to 300,000 children served as soldiers in current conflicts.[29] More girls under 16 work as domestic workers than any other category of child labor, often sent to cities by parents living in rural poverty[30] such as in restaveks in Haiti.
|
28 |
+
|
29 |
+
Forced marriages or early marriages are often considered types of slavery. Forced marriage continues to be practiced in parts of the world including some parts of Asia and Africa and in immigrant communities in the West.[31][32][33][34] Sacred prostitution is where girls and women are pledged to priests or those of higher castes, such as the practice of Devadasi in South Asia or fetish slaves in West Africa.[2] Marriage by abduction occurs in many places in the world today, with a national average of 69% of marriages in Ethiopia being through abduction.[35]
|
30 |
+
|
31 |
+
Economists have attempted to model the circumstances under which slavery (and variants such as serfdom) appear and disappear. One observation is that slavery becomes more desirable for landowners where land is abundant but labour is scarce, such that rent is depressed and paid workers can demand high wages. If the opposite holds true, then it becomes more costly for landowners to have guards for the slaves than to employ paid workers who can only demand low wages because of the amount of competition.[36] Thus, first slavery and then serfdom gradually decreased in Europe as the population grew but were reintroduced in the Americas and in Russia as large areas of new land with few people became available.[37]
|
32 |
+
|
33 |
+
Slavery is more common when the labor done is relatively simple and thus easy to supervise, such as large-scale growing of a single crop, like sugar and cotton, in which output was based on economies of scale. This enables such systems of labor, such as the gang system in the United States, to become prominent on large plantations where field hands were monitored and worked with factory-like precision. For example, each work gang was based on an internal division of labour that assigned every member of the gang to a precise task and simultaneously made their own performance dependent on the actions of the others. The hoe hands chopped out the weeds that surrounded the cotton plants as well as excessive sprouts. The plow gangs followed behind, stirring the soil near the rows of cotton plants and tossing it back around the plants. Thus, the gang system worked like an assembly line.[38]
|
34 |
+
|
35 |
+
Since the 18th century, critics have argued that slavery tends to retard technological advancement because the focus is on increasing the number of slaves doing simple tasks rather than upgrading the efficiency of labour. For example, it is sometime argued that, because of this narrow focus, theoretical knowledge and learning in Greece – and later in Rome – was not applied to ease physical labour or improve manufacturing.[39]
|
36 |
+
|
37 |
+
Scottish economist Adam Smith states that free labour was economically better than slave labour, and that it is nearly impossible to end slavery in a free, democratic, or republican form of government since many of its legislators or political figures were slave owners, and would not punish themselves. He further states that slaves would be better able to gain their freedom when there was centralized government, or a central authority like a king or the church.[40][41] Similar arguments appear later in the works of Auguste Comte, especially when it comes to Smith's belief in the separation of powers, or what Comte called the "separation of the spiritual and the temporal" during the Middle Ages and the end of slavery, and Smith's criticism of masters, past and present. As Smith states in the Lectures on Jurisprudence, "The great power of the clergy thus concurring with that of the king set the slaves at liberty. But it was absolutely necessary both that the authority of the king and of the clergy should be great. Where ever any one of these was wanting, slavery still continues..."
|
38 |
+
|
39 |
+
Worldwide, slavery is a criminal offense, but slave owners can get very high returns for their risk. According to researcher Siddharth Kara, the profits generated worldwide by all forms of slavery in 2007 were $91.2 billion. That is second only to drug trafficking, in terms of global criminal enterprises. Currently, the weighted average global sales price of a slave is calculated to be approximately $340, with a high of $1,895 for the average trafficked sex slave, and a low of $40 to $50 for debt bondage slaves in part of Asia and Africa.[42] The weighted average annual profits generated by a slave in 2007 was $3,175, with a low of an average $950 for bonded labor and $29,210 for a trafficked sex slave.[42] Approximately 40% of slave profits each year are generated by trafficked sex slaves, representing slightly more than 4% of the world's 29 million slaves.[42]
|
40 |
+
|
41 |
+
Throughout history, slaves were clothed in a distinctive fashion, particularly with respect to the frequent lack of footwear, as they were rather commonly forced to go barefoot. This was partly because of economic reasons but also served as a distinguishing feature, especially in South Africa and South America. For example, the Cape Town slave code stated that "Slaves must go barefoot and must carry passes."[43] It also puts slaves at a physical disadvantage because of the lack of protection against environmental adversities and also in situations of possible confrontation, thereby making it more difficult to escape or to rebel against their owners.
|
42 |
+
|
43 |
+
This was the case in the majority of states that abolished slavery later in history, as most images from the respective historical period suggest that slaves were barefoot.[44]
|
44 |
+
To quote Brother Riemer (1779): "[the slaves] are, even in their most beautiful suit, obliged to go barefoot. Slaves were forbidden to wear shoes. This was a prime mark of distinction between the free and the bonded and no exceptions were permitted."[45]
|
45 |
+
|
46 |
+
According to the Bible, shoes have been considered badges of freedom since antiquity: "But the father said to his servants, Bring forth the best robe, and put [it] on him; and put a ring on his hand, and shoes on [his] feet" (Luke 15:22). This aspect can be viewed as an informal law in areas where slavery existed as any person sighted barefoot in public would be conclusively regarded as a slave.
|
47 |
+
|
48 |
+
In certain societies this rule is valid to this day. As with the Tuareg, where slavery is still unofficially practiced, their slaves are constantly forced to remain barefoot as a recognition mark. Mainly through their bare feet their societal status and rank opposite their owners is displayed to the public in a plainly visible way.[46]
|
49 |
+
|
50 |
+
Another widespread practice was branding the slaves either to generally mark them as property or as punishment usually reserved for fugitives.
|
51 |
+
|
52 |
+
Some scholars differentiate between ancient forms of slavery and the large-scale, largely race-based slavery which grew to immense proportions starting in the 14th century. The first type of slavery, sometimes called "just title servitude," was suffered by prisoners of war, debtors, and other vulnerable people.[47] The second, race-based type of slavery was argued even by some contemporary writers to be intrinsically immoral.[48][49][50]
|
53 |
+
|
54 |
+
Evidence of slavery predates written records and has existed in many cultures.[3] Slavery is rare among hunter-gatherer populations because it requires economic surpluses and a high population density to be viable. Thus, although it has existed among unusually resource-rich hunter gatherers, such as the American Indian peoples of the salmon-rich rivers of the Pacific Northwest Coast, slavery became widespread only with the invention of agriculture during the Neolithic Revolution about 11,000 years ago.[51]
|
55 |
+
|
56 |
+
In the earliest known records, slavery is treated as an established institution. The Code of Hammurabi (c. 1760 BC), for example, prescribed death for anyone who helped a slave escape or who sheltered a fugitive.[52] The Bible mentions slavery as an established institution.[3] Slavery was known in almost every ancient civilization and society.[3] Such institutions included debt bondage, punishment for crime, the enslavement of prisoners of war, child abandonment, and the birth of slave children to slaves.[53]
|
57 |
+
|
58 |
+
Slavery existed in Pharaonic Egypt, but studying it is complicated by terminology used by the Egyptians to refer to different classes of servitude over the course of history. Interpretation of the textual evidence of classes of slaves in ancient Egypt has been difficult to differentiate by word usage alone.[54][55] There were three apparent types of enslavement in Ancient Egypt: chattel slavery, bonded labor, and forced labor.[56][57][58]
|
59 |
+
|
60 |
+
Slavery is known to have existed in ancient China as early as the Shang dynasty.[59] Slavery was largely employed by governments as a means of maintaining a public labor force.[60][61]
|
61 |
+
|
62 |
+
Records of slavery in Ancient Greece date as far back as Mycenaean Greece. It is certain that Classical Athens had the largest slave population, with as many as 80,000 in the 6th and 5th centuries BC.[62] As the Roman Republic expanded outward, entire populations were enslaved, thus creating an ample supply from all over Europe and the Mediterranean. Slaves were used for labour, as well as for amusement (e.g. gladiators and sex slaves). This oppression by an elite minority eventually led to slave revolts (see Roman Servile Wars); the Third Servile War, led by Spartacus, (a Thracian) being the most famous.
|
63 |
+
|
64 |
+
By the late Republican era, slavery had become a vital economic pillar in the wealth of Rome, as well as a very significant part of Roman society.[63] It is estimated that 25% or more of the population of Ancient Rome was enslaved, although the actual percentage is debated by scholars and varied from region to region.[64][65] Slaves represented 15–25% of Italy's population,[66] mostly captives in war,[66] especially from Gaul[67] and Epirus. Estimates of the number of slaves in the Roman Empire suggest that the majority of slaves were scattered throughout the provinces outside of Italy.[66] Generally, slaves in Italy were indigenous Italians,[68] with a minority of foreigners (including both slaves and freedmen) born outside of Italy estimated at 5% of the total in the capital at its peak, where their number was largest. Those from outside of Europe were predominantly of Greek descent, while the Jewish ones never fully assimilated into Roman society, remaining an identifiable minority. These slaves (especially the foreigners) had higher death rates and lower birth rates than natives and were sometimes even subjected to mass expulsions.[69] The average recorded age at death for the slaves of the city of Rome was seventeen and a half years (17.2 for males; 17.9 for females).[70][page needed]
|
65 |
+
|
66 |
+
Slavery was widespread in Africa, with both internal and external slave trade.[71] In the Senegambia region, between 1300 and 1900, close to one-third of the population was enslaved. In early Islamic states of the western Sahel, including Ghana, Mali, Segou, and Songhai, about a third of the population were enslaved.[72]
|
67 |
+
|
68 |
+
The Arab slave trade, across the Sahara desert and across the Indian Ocean, began after Muslim Arab and Swahili traders won control of the Swahili Coast and sea routes during the 9th century (see Sultanate of Zanzibar). These traders captured Bantu peoples (Zanj) from the interior in present-day Kenya, Mozambique and Tanzania and brought them to the coast.[74][75] There, the slaves gradually assimilated in the rural areas, particularly on the Unguja and Pemba islands.[76]
|
69 |
+
|
70 |
+
Slavery in Mexico can be traced back to the Aztecs.[77] Other Amerindians, such as the Inca of the Andes, the Tupinambá of Brazil, the Creek of Georgia, and the Comanche of Texas, also owned slaves.[3]
|
71 |
+
|
72 |
+
Many Han Chinese were enslaved in the process of the Mongol invasion of China proper.[78] According to Japanese historians Sugiyama Masaaki (杉山正明) and Funada Yoshiyuki (舩田善之), there were also a certain number of Mongolian slaves owned by Han Chinese during the Yuan dynasty. Moreover, there is no evidence that the Han Chinese, who were at the bottom of Yuan society according to some research, suffered particularly cruel abuse.[79][80]
|
73 |
+
|
74 |
+
Slavery in Korea existed since before the Three Kingdoms of Korea period, approximately 2,000 years ago.[81] Slavery has been described as "very important in medieval Korea, probably more important than in any other East Asian country, but by the 16th century, population growth was making [it] unnecessary".[82] Slavery went into decline around the 10th century but came back in the late Goryeo period when Korea also experienced a number of slave rebellions.[81]
|
75 |
+
|
76 |
+
In the Joseon period of Korea, members of the slave class were known as nobi. The nobi were socially indistinct from freemen (i.e., the middle and common classes) other than the ruling yangban class, and some possessed property rights, legal entities and civil rights. Hence, some scholars argue that it is inappropriate to call them "slaves",[83] while some scholars describe them as serfs.[84][85] The nobi population could fluctuate up to about one-third of the population, but on average the nobi made up about 10% of the total population.[86] In 1801, the vast majority of government nobi were emancipated,[87] and by 1858 the nobi population stood at about 1.5 percent of the total population of Korea.[88]
|
77 |
+
|
78 |
+
Slavery largely disappeared from Western Europe in the Middle Ages but persisted longer in Eastern Europe.[89] Large-scale trading in slaves was mainly confined to the South and East of early medieval Europe: the Byzantine Empire and the Muslim world were the destinations, while pagan Central and Eastern Europe (along with the Caucasus and Tartary) were important sources. Viking, Arab, Greek, and Radhanite Jewish merchants were all involved in the slave trade during the Early Middle Ages.[90][91][92] The trade in European slaves reached a peak in the 10th century following the Zanj Rebellion which dampened the use of African slaves in the Arab world.[93][94]
|
79 |
+
|
80 |
+
Slavery in early medieval Europe was so common that the Catholic Church repeatedly prohibited it, or at least the export of Christian slaves to non-Christian lands, as for example at the Council of Koblenz (922), the Council of London (1102) (which aimed mainly at the sale of English slaves to Ireland)[95] and the Council of Armagh (1171). Serfdom, on the contrary, was widely accepted. In 1452, Pope Nicholas V issued the papal bull Dum Diversas, granting the kings of Spain and Portugal the right to reduce any "Saracens (Muslims), pagans and any other unbelievers" to perpetual slavery, legitimizing the slave trade as a result of war.[96] The approval of slavery under these conditions was reaffirmed and extended in his Romanus Pontifex bull of 1455.
|
81 |
+
|
82 |
+
In Britain, slavery continued to be practiced following the fall of Rome, and sections of Hywel the Good's laws dealt with slaves in medieval Wales. The trade particularly picked up after the Viking invasions, with major markets at Chester[97] and Bristol[98] supplied by Danish, Mercian, and Welsh raiding of one another's borderlands. At the time of the Domesday Book, nearly 10% of the English population were slaves.[99] William the Conqueror introduced a law preventing the sale of slaves overseas.[100] According to historian John Gillingham, by 1200 slavery in the British Isles was non-existent.[101] The slave trade was abolished by the Slave Trade Act 1807, although slavery remained legal in possessions outside Europe until the passage of the Slavery Abolition Act 1833 and the Indian Slavery Act, 1843.[102]
|
83 |
+
|
84 |
+
The Byzantine-Ottoman wars and the Ottoman wars in Europe brought large numbers of slaves into the Islamic world.[103] To staff its bureaucracy, the Ottoman Empire established a janissary system which seized hundreds of thousands of Christian boys through the devşirme system. They were well cared for but were legally slaves owned by the government and were not allowed to marry. They were never bought or sold. The empire gave them significant administrative and military roles. The system began about 1365; there were 135,000 janissaries in 1826, when the system ended.[104]
|
85 |
+
|
86 |
+
After the Battle of Lepanto, 12,000 Christian galley slaves were recaptured and freed from the Ottoman fleet.[105] Eastern Europe suffered a series of Tatar invasions, the goal of which was to loot and capture slaves into jasyr.[106] Seventy-five Crimean Tatar raids were recorded into Poland–Lithuania between 1474 and 1569.[107]
|
87 |
+
|
88 |
+
Slavery in Poland was forbidden in the 15th century; in Lithuania, slavery was formally abolished in 1588; they were replaced by the second serfdom.
|
89 |
+
|
90 |
+
Medieval Spain and Portugal were the scene of almost constant Muslim invasion of the predominantly Christian area. Periodic raiding expeditions were sent from Al-Andalus to ravage the Iberian Christian kingdoms, bringing back booty and slaves. In a raid against Lisbon in 1189, for example, the Almohad caliph Yaqub al-Mansur took 3,000 female and child captives, while his governor of Córdoba, in a subsequent attack upon Silves, Portugal, in 1191, took 3,000 Christian slaves.[108] From the 11th to the 19th century, North African Barbary Pirates engaged in Razzias, raids on European coastal towns, to capture Christian slaves to sell at slave markets in places such as Algeria and Morocco.[109][110]
|
91 |
+
The maritime town of Lagos was the first slave market created in Portugal (one of the earliest colonizers of the Americas) for the sale of imported African slaves – the Mercado de Escravos, opened in 1444.[111][112] In 1441, the first slaves were brought to Portugal from northern Mauritania.[112]
|
92 |
+
|
93 |
+
By 1552, black African slaves made up 10% of the population of Lisbon.[113][114] In the second half of the 16th century, the Crown gave up the monopoly on slave trade, and the focus of European trade in African slaves shifted from import to Europe to slave transports directly to tropical colonies in the Americas – especially Brazil.[112] In the 15th century one-third of the slaves were resold to the African market in exchange of gold.[115]
|
94 |
+
|
95 |
+
In Kievan Rus and Muscovy, slaves were usually classified as kholops. According to David P. Forsythe, "In 1649 up to three-quarters of Muscovy's peasants, or 13 to 14 million people, were serfs whose material lives were barely distinguishable from slaves. Perhaps another 1.5 million were formally enslaved, with Russian slaves serving Russian masters."[117] Slavery remained a major institution in Russia until 1723, when Peter the Great converted the household slaves into house serfs. Russian agricultural slaves were formally converted into serfs earlier in 1679.[118]
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In Scandinavia, thralldom was abolished in the mid-14th century.[119]
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During the Second World War Nazi Germany effectively enslaved about 12 million people, both those considered undesirable and citizens of conquered countries, with the avowed intention of treating these Untermenschen (sub-humans) as a permanent slave-class of inferior beings who could be worked until they died, and who possessed neither the rights nor the legal status of members of the Aryan race.[120]
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The Arab slave trade lasted more than a millennium.[121] As recently as the early 1960s, Saudi Arabia's slave population was estimated at 300,000.[122] Along with Yemen, the Saudis abolished slavery in 1962.[123] Historically, slaves in the Arab World came from many different regions, including Sub-Saharan Africa (mainly Zanj),[124] the Caucasus (mainly Circassians),[125] Central Asia (mainly Tartars), and Central and Eastern Europe (mainly Saqaliba).[126]
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Some historians assert that as many as 17 million people were sold into slavery on the coast of the Indian Ocean, the Middle East, and North Africa, and approximately 5 million African slaves were bought by Muslim slave traders and taken from Africa across the Red Sea, Indian Ocean, and Sahara desert between 1500 and 1900.[127] The captives were sold throughout the Middle East. This trade accelerated as superior ships led to more trade and greater demand for labour on plantations in the region. Eventually, tens of thousands of captives were being taken every year.[76][128][129] The Indian Ocean slave trade was multi-directional and changed over time. To meet the demand for menial labor, Bantu slaves bought by Arab slave traders from southeastern Africa were sold in cumulatively large numbers over the centuries to customers in Egypt, Arabia, the Persian Gulf, India, European colonies in the Far East, the Indian Ocean islands, Ethiopia and Somalia.[130]
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According to the Encyclopedia of African History, "It is estimated that by the 1890s the largest slave population of the world, about 2 million people, was concentrated in the territories of the Sokoto Caliphate. The use of slave labor was extensive, especially in agriculture."[131][132] The Anti-Slavery Society estimated there were 2 million slaves in Ethiopia in the early 1930s out of an estimated population of 8 to 16 million.[133]
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Slave labor in East Africa was drawn from the Zanj, Bantu peoples that lived along the East African coast.[75][134] The Zanj were for centuries shipped as slaves by Arab traders to all the countries bordering the Indian Ocean. The Umayyad and Abbasid caliphs recruited many Zanj slaves as soldiers and, as early as 696, there were slave revolts of the Zanj against their Arab enslavers in Iraq. The Zanj Rebellion, a series of uprisings that took place between 869 and 883 near Basra (also known as Basara), situated in present-day Iraq, is believed to have involved enslaved Zanj that had originally been captured from the African Great Lakes region and areas further south in East Africa.[135] It grew to involve over 500,000 slaves and free men who were imported from across the Muslim empire and claimed over "tens of thousands of lives in lower Iraq".[136]
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The Zanj who were taken as slaves to the Middle East were often used in strenuous agricultural work.[137] As the plantation economy boomed and the Arabs became richer, agriculture and other manual labor work was thought to be demeaning. The resulting labor shortage led to an increased slave market.
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In Algiers, the capital of Algeria, captured Christians and Europeans were forced into slavery. In about 1650, there were as many as 35,000 Christian slaves in Algiers.[138] By one estimate, raids by Barbary pirates on coastal villages and ships extending from Italy to Iceland, enslaved an estimated 1 to 1.25 million Europeans between the 16th and 19th centuries.[139][140][141] However, to this estimate is extrapolated by assuming the number of European, slaves captured by Barbary pirates, was constant for 250 years period:
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There are no records of how many men, women and children were enslaved, but it is possible to calculate roughly the number of fresh captives that would have been needed to keep populations steady and replace those slaves who died, escaped, were ransomed, or converted to Islam. On this basis it is thought that around 8,500 new slaves were needed annually to replenish numbers – about 850,000 captives over the century from 1580 to 1680. By extension, for the 250 years between 1530 and 1780, the figure could easily have been as high as 1,250,000.[142]
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Davis' numbers have been refuted by other historians, such as David Earle, who cautions that true picture of Europeans slaves is clouded by the fact the corsairs also seized non-Christian whites from eastern Europe.[142] In addition, the number of slaves traded was hyperactive, with exaggerated estimates relying on peak years to calculate averages for entire centuries, or millennia. Hence, there were wide fluctuations year-to-year, particularly in the 18th and 19th centuries, given slave imports, and also given the fact that, prior to the 1840s, there are no consistent records. Middle East expert, John Wright, cautions that modern estimates are based on back-calculations from human observation.[143] Such observations, across the late 16th and early 17th century observers, account for around 35,000 European Christian slaves held throughout this period on the Barbary Coast, across Tripoli, Tunis, but mostly in Algiers. The majority were sailors (particularly those who were English), taken with their ships, but others were fishermen and coastal villagers. However, most of these captives were people from lands close to Africa, particularly Spain and Italy.[144] This eventually led to the bombardment of Algiers by an Anglo-Dutch fleet in 1816.[145][146]
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Under Omani Arabs, Zanzibar became East Africa's main slave port, with as many as 50,000 enslaved Africans passing through every year during the 19th century.[147][148] Some historians estimate that between 11 and 18 million African slaves crossed the Red Sea, Indian Ocean, and Sahara Desert from 650 to 1900 AD.[3][149] Eduard Rüppell described the losses of Sudanese slaves being transported on foot to Egypt: "after the Daftardar bey's 1822 campaign in the southern Nuba mountains, nearly 40,000 slaves were captured. However, through bad treatment, disease and desert travel barely 5,000 made it to Egypt.."[150] W.A. Veenhoven wrote: "The German doctor, Gustav Nachtigal, an eye-witness, believed that for every slave who arrived at a market three or four died on the way ... Keltie (The Partition of Africa, London, 1920) believes that for every slave the Arabs brought to the coast at least six died on the way or during the slavers' raid. Livingstone puts the figure as high as ten to one."[151]
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Systems of servitude and slavery were common in parts of Africa, as they were in much of the ancient world. In many African societies where slavery was prevalent, the enslaved people were not treated as chattel slaves and were given certain rights in a system similar to indentured servitude elsewhere in the world. The forms of slavery in Africa were closely related to kinship structures. In many African communities, where land could not be owned, enslavement of individuals was used as a means to increase the influence a person had and expand connections.[152] This made slaves a permanent part of a master's lineage and the children of slaves could become closely connected with the larger family ties.[153] Children of slaves born into families could be integrated into the master's kinship group and rise to prominent positions within society, even to the level of chief in some instances. However, stigma often remained attached and there could be strict separations between slave members of a kinship group and those related to the master.[152] Slavery was practiced in many different forms: debt slavery, enslavement of war captives, military slavery, and criminal slavery were all practiced in various parts of Africa.[154] Slavery for domestic and court purposes was widespread throughout Africa.
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When the Atlantic slave trade began, many of the local slave systems began supplying captives for chattel slave markets outside Africa. Although the Atlantic slave trade was not the only slave trade from Africa, it was the largest in volume and intensity. As Elikia M’bokolo wrote in Le Monde diplomatique:
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The African continent was bled of its human resources via all possible routes. Across the Sahara, through the Red Sea, from the Indian Ocean ports and across the Atlantic. At least ten centuries of slavery for the benefit of the Muslim countries (from the ninth to the nineteenth).... Four million enslaved people exported via the Red Sea, another four million through the Swahili ports of the Indian Ocean, perhaps as many as nine million along the trans-Saharan caravan route, and eleven to twenty million (depending on the author) across the Atlantic Ocean.[155]
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The trans-Atlantic slave trade peaked in the late 18th century, when the largest number of slaves were captured on raiding expeditions into the interior of West Africa. These expeditions were typically carried out by African kingdoms, such as the Oyo Empire (Yoruba), the Ashanti Empire,[156] the kingdom of Dahomey,[157] and the Aro Confederacy.[158] It is estimated that about 15 percent of slaves died during the voyage, with mortality rates considerably higher in Africa itself in the process of capturing and transporting indigenous peoples to the ships.[159][160]
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Slavery in America remains a contentious issue and played a major role in the history and evolution of some countries, triggering a revolution, a civil war, and numerous rebellions.
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In order to establish itself as an American empire, Spain had to fight against the relatively powerful civilizations of the New World. The Spanish conquest of the indigenous peoples in the Americas included using the Natives as forced labour. The Spanish colonies were the first Europeans to use African slaves in the New World on islands such as Cuba and Hispaniola.[161] Bartolomé de las Casas, a 16th-century Dominican friar and Spanish historian, participated in campaigns in Cuba (at Bayamo and Camagüey) and was present at the massacre of Hatuey; his observation of that massacre led him to fight for a social movement away from the use of natives as slaves. Also, the alarming decline in the native population had spurred the first royal laws protecting the native population. The first African slaves arrived in Hispaniola in 1501.[162] England played a prominent role in the Atlantic slave trade. The "slave triangle" was pioneered by Francis Drake and his associates.
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Many Africans who arrived in North America during the 17th and 18th centuries came under contract as indentured servants.[163] The transformation from indentured servitude to slavery was a gradual process in Virginia. The earliest legal documentation of such a shift was in 1640 where a negro, John Punch, was sentenced to lifetime slavery, forcing him to serve his master, Hugh Gwyn, for the remainder of his life, for attempting to run away. This case was significant because it established the disparity between his sentence as a black man and that of the two white indentured servants who escaped with him (one described as Dutch and one as a Scotchman). It is the first documented case of a black man sentenced to lifetime servitude and is considered one of the first legal cases to make a racial distinction between black and white indentured servants.[164][165][166][167][168]
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After 1640, planters started to ignore the expiration of indentured contracts and keep their servants as slaves for life. This was demonstrated by the 1655 case Johnson v. Parker, where the court ruled that a black man, Anthony Johnson of Virginia, was granted ownership of another black man, John Casor, as the result of a civil case.[169] This was the first instance of a judicial determination in the Thirteen Colonies holding that a person who had committed no crime could be held in servitude for life.[170][171][172][173][174][175][176]
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In the early 17th century, the majority of the labour in Barbados was provided by European indentured servants, mainly English, Irish and Scottish, with enslaved Africans and enslaved Amerindians providing little of the workforce. The introduction of sugar cane from Dutch Brazil in 1640 completely transformed society and the economy. Barbados eventually had one of the world's largest sugar industries.[177]
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As the effects of the new crop increased, so did the shift in the ethnic composition of Barbados and surrounding islands. The workable sugar plantation required a large investment and a great deal of heavy labour. At first, Dutch traders supplied the equipment, financing, and enslaved Africans, in addition to transporting most of the sugar to Europe. In 1644, the population of Barbados was estimated at 30,000, of which about 800 were of African descent, with the remainder mainly of English descent. These English smallholders were eventually bought out, and the island filled up with large sugar plantations worked by enslaved Africans. By 1660, there was near parity with 27,000 blacks and 26,000 whites. By 1666, at least 12,000 white smallholders had been bought out, died, or left the island. Many of the remaining whites were increasingly poor. By 1680, there were 17 slaves for every indentured servant. By 1700, there were 15,000 free whites and 50,000 enslaved Africans.
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Because of the increased implementation of slave codes, which created differential treatment between Africans and the white workers and ruling planter class, the island became increasingly unattractive to poor whites. Black or slave codes were implemented in 1661, 1676, 1682, and 1688. In response to these codes, several slave rebellions were attempted or planned during this time, but none succeeded. Nevertheless, poor whites who had or acquired the means to emigrate often did so. Planters expanded their importation of enslaved Africans to cultivate sugar cane.
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Slavery in Brazil began long before the first Portuguese settlement was established in 1532, as members of one tribe would enslave captured members of another.[178]
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Later, Portuguese colonists were heavily dependent on indigenous labor during the initial phases of settlement to maintain the subsistence economy, and natives were often captured by expeditions called bandeiras. The importation of African slaves began midway through the 16th century, but the enslavement of indigenous peoples continued well into the 17th and 18th centuries.
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During the Atlantic slave trade era, Brazil imported more African slaves than any other country. Nearly 5 million slaves were brought from Africa to Brazil during the period from 1501 to 1866.[179] Until the early 1850s, most enslaved Africans who arrived on Brazilian shores were forced to embark at West Central African ports, especially in Luanda (present-day Angola). Today, with the exception of Nigeria, the largest population of people of African descent is in Brazil.[180]
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Slave labor was the driving force behind the growth of the sugar economy in Brazil, and sugar was the primary export of the colony from 1600 to 1650. Gold and diamond deposits were discovered in Brazil in 1690, which sparked an increase in the importation of African slaves to power this newly profitable market. Transportation systems were developed for the mining infrastructure, and population boomed from immigrants seeking to take part in gold and diamond mining. Demand for African slaves did not wane after the decline of the mining industry in the second half of the 18th century. Cattle ranching and foodstuff production proliferated after the population growth, both of which relied heavily on slave labor. 1.7 million slaves were imported to Brazil from Africa from 1700 to 1800, and the rise of coffee in the 1830s further enticed expansion of the slave trade.
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Brazil was the last country in the Western world to abolish slavery. Forty percent of the total number of slaves brought to the Americas were sent to Brazil. For reference, the United States received 10 percent. Despite being abolished, there are still people working in slavery-like conditions in Brazil in the 21st century.
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In 1789 the Spanish Crown led an effort to reform slavery, as the demand for slave labor in Cuba was growing. The Crown issued a decree, Código Negro Español (Spanish Black Codex), that specified food and clothing provisions, put limits on the number of work hours, limited punishments, required religious instruction, and protected marriages, forbidding the sale of young children away from their mothers.[181] The British made other changes to the institution of slavery in Cuba.[181] But planters often flouted the laws and protested against them, considering them a threat to their authority[181] and an intrusion into their personal lives.[181]
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The slaveowners did not protest against all the measures of the codex, many of which they argued were already common practices. They objected to efforts to set limits on their ability to apply physical punishment. For instance, the Black Codex limited whippings to 25 and required the whippings "not to cause serious bruises or bleeding".[181] The slave-owners thought that the slaves would interpret these limits as weaknesses, ultimately leading to resistance.[181] Another contested issue was the work hours that were restricted "from sunrise to sunset"; plantation owners responded by explaining that cutting and processing of cane needed 20-hour days during the harvest season.[181]
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Those slaves who worked on sugar plantations and in sugar mills were often subject to the harshest of conditions. The field work was rigorous manual labor which the slaves began at an early age. The work days lasted close to 20 hours during harvest and processing, including cultivating and cutting the crops, hauling wagons, and processing sugarcane with dangerous machinery. The slaves were forced to reside in barracoons, where they were crammed in and locked in by a padlock at night, getting about three to four hours of sleep. The conditions of the barracoons were harsh; they were highly unsanitary and extremely hot. Typically there was no ventilation; the only window was a small barred hole in the wall.[182]
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Cuba's slavery system was gendered in a way that some duties were performed only by male slaves, some only by female slaves. Female slaves in Havana from the 16th century onwards performed duties such as operating the town taverns, eating houses, and lodges, as well as being laundresses and domestic laborers and servants. Female slaves also served as the town prostitutes.
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Some Cuban women could gain freedom by having children with white men. As in other Latin cultures, there were looser borders with the mulatto or mixed-race population. Sometimes men who took slaves as wives or concubines freed both them and their children. As in New Orleans and Saint-Domingue, mulattos began to be classified as a third group between the European colonists and African slaves. Freedmen, generally of mixed race, came to represent 20% of the total Cuban population and 41% of the non-white Cuban population.[183]
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Planters encouraged Afro-Cuban slaves to have children in order to reproduce their work force. The masters wanted to pair strong and large-built black men with healthy black women. They were placed in the barracoons and forced to have sex and create offspring of “breed stock” children, who would sell for around 500 pesos. The planters needed children to be born to replace slaves who died under the harsh regime. Sometimes if the overseers did not like the quality of children, they separate the parents and sent the mother back to working in the fields.[184]
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Both women and men were subject to the punishments of violence and humiliating abuse. Slaves who misbehaved or disobeyed their masters were often placed in stocks in the depths of the boiler houses where they were abandoned for days at a time, and oftentimes two to three months. These wooden stocks were made in two types: lying-down or stand-up types. women were punished, even when pregnant. They were subjected to whippings: they had to lie "face down over a scooped-out piece of round [earth] to protect their bellies." [185] Some masters reportedly whipped pregnant women in the belly, often causing miscarriages. The wounds were treated with “compresses of tobacco leaves, urine and salt." [186]
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Slavery in Haiti started with the arrival of Christopher Columbus on the island in 1492. The practice was devastating to the native population.[187] Following the indigenous Taíno's near decimation from forced labour, disease and war, the Spanish, under advisement of the Catholic priest Bartolomeu de las Casas, and with the blessing of the Catholic church began engaging in earnest in the kidnapped and forced labour of enslaved Africans. During the French colonial period beginning in 1625, the economy of Haiti (then known as Saint-Domingue) was based on slavery, and the practice there was regarded as the most brutal in the world.
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Following the Treaty of Ryswick of 1697, Hispaniola was divided between France and Spain. France received the western third and subsequently named it Saint-Domingue. To develop it into sugarcane plantations, the French imported thousands of slaves from Africa. Sugar was a lucrative commodity crop throughout the 18th century. By 1789, approximately 40,000 white colonists lived in Saint-Domingue. The whites were vastly outnumbered by the tens of thousands of African slaves they had imported to work on their plantations, which were primarily devoted to the production of sugarcane. In the north of the island, slaves were able to retain many ties to African cultures, religion and language; these ties were continually being renewed by newly imported Africans. Blacks outnumbered whites by about ten to one.
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The French-enacted Code Noir ("Black Code"), prepared by Jean-Baptiste Colbert and ratified by Louis XIV, had established rules on slave treatment and permissible freedoms. Saint-Domingue has been described as one of the most brutally efficient slave colonies; one-third of newly imported Africans died within a few years.[188] Many slaves died from diseases such as smallpox and typhoid fever.[189] They had birth rates around 3 percent, and there is evidence that some women aborted fetuses, or committed infanticide, rather allow their children to live within the bonds of slavery.[190][191]
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As in its Louisiana colony, the French colonial government allowed some rights to free people of color: the mixed-race descendants of white male colonists and black female slaves (and later, mixed-race women). Over time, many were released from slavery. They established a separate social class. White French Creole fathers frequently sent their mixed-race sons to France for their education. Some men of color were admitted into the military. More of the free people of color lived in the south of the island, near Port-au-Prince, and many intermarried within their community. They frequently worked as artisans and tradesmen, and began to own some property. Some became slave holders. The free people of color petitioned the colonial government to expand their rights.
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Slaves that made it to Haiti from the trans-Atlantic journey and slaves born in Haiti were first documented in Haiti's archives and transferred to France's Ministry of Defense and the Ministry of Foreign Affairs. As of 2015[update], these records are in The National Archives of France. According to the 1788 Census, Haiti's population consisted of nearly 40,000 whites, 30,000 free coloureds and 450,000 slaves.[192]
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The Haitian Revolution of 1804, the only successful slave revolt in human history, precipitated the end of slavery in all French colonies.
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Jamaica was colonized by the Taino tribes prior to the arrival of Columbus in 1494. The Spanish enslaved many of the Taino; some escaped, but most died from European diseases and overwork. The Spaniards also introduced the first African slaves.[193]
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The Spanish colonists did not bring women in the first expeditions and took Taíno women for their common-law wives, resulting in mestizo children.[194] Sexual violence with the Taíno women by the Spanish was also common.[195][196]
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Although the African slave population in the 1670s and 1680s never exceeded 10,000, by 1800 it had increased to over 300,000.
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In 1519, Hernán Cortés brought the first modern slave to the area.[197] In the mid-16th century, the second viceroy to Mexico, Luis de Velasco, prohibited slavery of the Aztecs. A labor shortage resulted as the Aztecs were either killed or died from disease. This led to the African slaves being imported, as they were not susceptible to smallpox. In exchange, many Africans were afforded the opportunity to buy their freedom, while eventually others were granted their freedom by their masters.[197]
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When Ponce de León and the Spaniards arrived on the island of Borikén (Puerto Rico), they enslaved Taíno tribes on the island, forcing them to work in the gold mines and in the construction of forts. Many Taíno died, particularly from smallpox, of which they had no immunity. Other Taínos committed suicide or left the island after the failed Taíno revolt of 1511.[198] The Spanish colonists, fearing the loss of their labor force, complained the courts that they needed manpower. As an alternative, Las Casas suggested the importation and use of African slaves. In 1517, the Spanish Crown permitted its subjects to import twelve slaves each, thereby beginning the slave trade on the colonies.[199]
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African slaves were legally branded with a hot iron on the forehead, prevented their "theft" or lawsuits that challenged their captivity.[200] The colonists continued this branding practice for more than 250 years.[201] They were sent to work in the gold mines, or in the island's ginger and sugar fields. They were allowed to live with their families in a hut on the master's land, and given a patch of land where they could farm, but otherwise were subjected to harsh treatment; including sexual abuse as the majority of colonists had arrived without women; many of them intermarried with the Africans or Taínos. Their mixed-race descendants formed the first generations of the early Puerto Rican population.[200]
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The slaves faced heavy discrimination and had no opportunity for advancement, though they were educated by their masters. The Spaniards considered the Africans superior to the Taíno, since the latter were unwilling to assimilate. The slaves, in contrast, had little choice but to adapt. Many converted to Christianity and were given their masters' surnames.[200]
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By 1570, the colonists found that the gold mines were depleted, relegating the island to a garrison for passing ships. The cultivation of crops such as tobacco, cotton, cocoa, and ginger became the cornerstone of the economy.[202] With rising demand for sugar on the international market, major planters increased their labor-intensive cultivation and processing of sugar cane. Sugar plantations supplanted mining as Puerto Rico's main industry and kept demand high for African slavery.[202]
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After 1784, Spain provided five ways by which slaves could obtain freedom.[201] Five years later, the Spanish Crown issued the "Royal Decree of Graces of 1789", which set new rules related to the slave trade and added restrictions to the granting of freedman status. The decree granted its subjects the right to purchase slaves and to participate in the flourishing slave trade in the Caribbean. Later that year a new slave code, also known as El Código Negro (The Black Code), was introduced.[203]
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Under "El Código Negro", a slave could buy his freedom, in the event that his master was willing to sell, by paying the price sought in installments. Slaves were allowed to earn money during their spare time by working as shoemakers, cleaning clothes, or selling the produce they grew on their own plots of land. For the freedom of their newborn child, not yet baptized, they paid at half the going price for a baptized child.[203] Many of these freedmen started settlements in the areas which became known as Cangrejos (Santurce), Carolina, Canóvanas, Loíza, and Luquillo. Some became slave owners themselves.[200] Despite these paths to freedom, from 1790 onwards, the number of slaves more than doubled in Puerto Rico as a result of the dramatic expansion of the sugar industry in the island.[202]
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On March 22, 1873, slavery was legally abolished in Puerto Rico. However, slaves were not emancipated but rather had to buy their own freedom, at whatever price was set by their last masters. They were also required to work for another three years for their former masters, for other colonists interested in their services, or for the state in order to pay some compensation.[204] Between 1527 and 1873, slaves in Puerto Rico had carried out more than twenty revolts.[205][206]
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The planters of the Dutch colony relied heavily on African slaves to cultivate, harvest and process the commodity crops of coffee, cocoa, sugar cane and cotton plantations along the rivers. Planters' treatment of the slaves was notoriously bad.[207] Historian C. R. Boxer wrote that "man's inhumanity to man just about reached its limits in Surinam."[208]
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Many slaves escaped the plantations. With the help of the native South Americans living in the adjoining rain forests, these runaway slaves established a new and unique culture in the interior that was highly successful in its own right. They were known collectively in English as Maroons, in French as Nèg'Marrons (literally meaning "brown negroes", that is "pale-skinned negroes"), and in Dutch as Marrons. The Maroons gradually developed several independent tribes through a process of ethnogenesis, as they were made up of slaves from different African ethnicities. These tribes include the Saramaka, Paramaka, Ndyuka or Aukan, Kwinti, Aluku or Boni, and Matawai.
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The Maroons often raided plantations to recruit new members from the slaves and capture women, as well as to acquire weapons, food and supplies. They sometimes killed planters and their families in the raids.[209] The colonists also mounted armed campaigns against the Maroons, who generally escaped through the rain forest, which they knew much better than did the coloniss. To end hostilities, in the 18th century the European colonial authorities signed several peace treaties with different tribes. They granted the Maroons sovereign status and trade rights in their inland territories, giving them autonomy.
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In 1861–63, President Abraham Lincoln of the United States and his administration looked abroad for places to relocate freed slaves who wanted to leave the United States. It opened negotiations with the Dutch government regarding African-American emigration to and colonization of the Dutch colony of Suriname in South America. Nothing came of it and after 1864, the proposal was dropped.[210]
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The Netherlands abolished slavery in Suriname, in 1863, under a gradual process that required slaves to work on plantations for 10 transition years for minimal pay, which was considered as partial compensation for their masters. After 1873, most freedmen largely abandoned the plantations where they had worked for several generations in favor of the capital city, Paramaribo.
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Slavery in the United States was the legal institution of human chattel enslavement, primarily of Africans and African Americans, that existed in the United States of America in the 18th and 19th centuries after it gained independence from the British and before the end of the American Civil War. Slavery had been practiced in British America from early colonial days and was legal in all Thirteen Colonies at the time of the Declaration of Independence in 1776.
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By the time of the American Revolution, the status of slave had been institutionalized as a racial caste associated with African ancestry.[211] The United States became polarized over the issue of slavery, represented by the slave and free states divided by the Mason–Dixon line, which separated free Pennsylvania from slave Maryland and Delaware.
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Congress, during the Jefferson administration prohibited the importation of slaves, effective 1808, although smuggling (illegal importing) was not unusual.[212] Domestic slave trading, however, continued at a rapid pace, driven by labor demands from the development of cotton plantations in the Deep South. Those states attempted to extend slavery into the new western territories to keep their share of political power in the nation. Such laws proposed to Congress to continue the spread of slavery into newly ratified states include the Kansas-Nebraska Act.
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The treatment of slaves in the United States varied widely depending on conditions, times, and places. The power relationships of slavery corrupted many whites who had authority over slaves, with children showing their own cruelty. Masters and overseers resorted to physical punishments to impose their wills. Slaves were punished by whipping, shackling, hanging, beating, burning, mutilation, branding and imprisonment. Punishment was most often meted out in response to disobedience or perceived infractions, but sometimes abuse was carried out to re-assert the dominance of the master or overseer of the slave.[213] Treatment was usually harsher on large plantations, which were often managed by overseers and owned by absentee slaveholders.
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William Wells Brown, who escaped to freedom, reported that on one plantation, slave men were required to pick 80 pounds of cotton per day, while women were required to pick 70 pounds per day; if any slave failed in his or her quota, they were subject to whip lashes for each pound they were short. The whipping post stood next to the cotton scales.[215] A New York man who attended a slave auction in the mid-19th century reported that at least three-quarters of the male slaves he saw at sale had scars on their backs from whipping.[216] By contrast, small slave-owning families had closer relationships between the owners and slaves; this sometimes resulted in a more humane environment but was not a given.[213]
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More than one million slaves were sold from the Upper South, which had a surplus of labor, and taken to the Deep South in a forced migration, splitting up many families. New communities of African-American culture were developed in the Deep South, and the total slave population in the South eventually reached 4 million before liberation.[217][218] In the 19th century, proponents of slavery often defended the institution as a "necessary evil". White people of that time feared that emancipation of black slaves would have more harmful social and economic consequences than the continuation of slavery. The French writer and traveler Alexis de Tocqueville, in Democracy in America (1835), expressed opposition to slavery while observing its effects on American society. He felt that a multiracial society without slavery was untenable, as he believed that prejudice against black people increased as they were granted more rights. Others, like James Henry Hammond argued that slavery was a "positive good" stating: "Such a class you must have, or you would not have that other class which leads progress, civilization, and refinement."
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The Southern state governments wanted to keep a balance between the number of slave and free states to maintain a political balance of power in Congress. The new territories acquired from Britain, France, and Mexico were the subject of major political compromises. By 1850, the newly rich cotton-growing South was threatening to secede from the Union, and tensions continued to rise. Many white Southern Christians, including church ministers, attempted to justify their support for slavery as modified by Christian paternalism.[219] The largest denominations, the Baptist, Methodist, and Presbyterian churches, split over the slavery issue into regional organizations of the North and South.
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When Abraham Lincoln won the 1860 election on a platform of halting the expansion of slavery, according to the 1860 U.S. census, roughly 400,000 individuals, representing 8% of all U.S. families, owned nearly 4,000,000 slaves.[220] One-third of Southern families owned slaves.[221] The South was heavily invested in slavery. As such, upon Lincoln's election, seven states broke away to form the Confederate States of America. The first six states to secede held the greatest number of slaves in the South. Shortly after, over the issue of slavery, the United States erupted into an all out Civil War, with slavery legally ceasing as an institution following the war in December 1865.
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In 2018, the Orlando Sentinel reported some private Christian schools in Florida as teaching students a creationist curriculum which includes assertions such as, “most black and white southerners had long lived together in harmony” and that “power-hungry individuals stirred up the people” leading to the Civil Rights Movement.[222]
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Slavery has existed all throughout Asia, and forms of slavery still exist today.
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Slavery has taken various forms throughout China's history. It was reportedly abolished as a legally recognized institution, including in a 1909 law[223][224] fully enacted in 1910,[225] although the practice continued until at least 1949.[226]
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The Tang dynasty purchased Western slaves from the Radhanite Jews.[227] Tang Chinese soldiers and pirates enslaved Koreans, Turks, Persians, Indonesians, and people from Inner Mongolia, central Asia, and northern India.[228][229][230][231] The greatest source of slaves came from southern tribes, including Thais and aboriginals from the southern provinces of Fujian, Guangdong, Guangxi, and Guizhou. Malays, Khmers, Indians, and "black skinned" peoples (who were either Austronesian Negritos of Southeast Asia and the Pacific Islands, or Africans, or both) were also purchased as slaves in the Tang dynasty.[232]
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In the 17th century Qing Dynasty, there was a hereditarily servile people called Booi Aha (Manchu:booi niyalma; Chinese transliteration: 包衣阿哈), which is a Manchu word literally translated as "household person" and sometimes rendered as "nucai." The Manchu was establishing close personal and paternalist relationship between masters and their slaves, as Nurhachi said, "The Master should love the slaves and eat the same food as him".[233] However, booi aha "did not correspond exactly to the Chinese category of "bond-servant slave" (Chinese:奴僕); instead, it was a relationship of personal dependency on a master which in theory guaranteed close personal relationships and equal treatment, even though many western scholars would directly translate "booi" as "bond-servant" (some of the "booi" even had their own servant).[234][235]
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Chinese Muslim (Tungans) Sufis who were charged with practicing xiejiao (heterodox religion), were punished by exile to Xinjiang and being sold as a slave to other Muslims, such as the Sufi begs.[236] Han Chinese who committed crimes such as those dealing with opium became slaves to the begs, this practice was administered by Qing law.[237] Most Chinese in Altishahr were exile slaves to Turkestani Begs.[238] While free Chinese merchants generally did not engage in relationships with East Turkestani women, some of the Chinese slaves belonging to begs, along with Green Standard soldiers, Bannermen, and Manchus, engaged in affairs with the East Turkestani women that were serious in nature.[239]
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Slavery in India was widespread by the 6th century BC, and perhaps even as far back as the Vedic period.[240] Slavery intensified during the Muslim domination of northern India after the 11th-century.[241] Slavery existed in Portuguese India after the 16th century. The Dutch, too, largely dealt in Abyssian slaves, known in India as Habshis or Sheedes.[242] Arakan/Bengal, Malabar, and Coromandel remained the largest sources of forced labour until the 1660s.
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Between 1626 and 1662, the Dutch exported on an average 150–400 slaves annually from the Arakan-Bengal coast. During the first 30 years of Batavia's existence, Indian and Arakanese slaves provided the main labour force of the Dutch East India Company, Asian headquarters. An increase in Coromandel slaves occurred during a famine following the revolt of the Nayaka Indian rulers of South India (Tanjavur, Senji, and Madurai) against Bijapur overlordship (1645) and the subsequent devastation of the Tanjavur countryside by the Bijapur army. Reportedly, more than 150,000 people were taken by the invading Deccani Muslim armies to Bijapur and Golconda. In 1646, 2,118 slaves were exported to Batavia, the overwhelming majority from southern Coromandel. Some slaves were also acquired further south at Tondi, Adirampatnam, and Kayalpatnam. Another increase in slaving took place between 1659 and 1661 from Tanjavur as a result of a series of successive Bijapuri raids. At Nagapatnam, Pulicat, and elsewhere, the company purchased 8,000–10,000 slaves, the bulk of whom were sent to Ceylon, while a small portion were exported to Batavia and Malacca. Finally, following a long drought in Madurai and southern Coromandel, in 1673, which intensified the prolonged Madurai-Maratha struggle over Tanjavur and punitive fiscal practices, thousands of people from Tanjavur, mostly children, were sold into slavery and exported by Asian traders from Nagapattinam to Aceh, Johor, and other slave markets.
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In September 1687, 665 slaves were exported by the English from Fort St. George, Madras. And, in 1694–96, when warfare once more ravaged South India, a total of 3,859 slaves were imported from Coromandel by private individuals into Ceylon.[243][244][245][246]
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The volume of the total Dutch Indian Ocean slave trade has been estimated to be about 15–30% of the Atlantic slave trade, slightly smaller than the trans-Saharan slave trade, and one-and-a-half to three times the size of the Swahili and Red Sea coast and the Dutch West India Company slave trades.[247]
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According to Sir Henry Bartle Frere (who sat on the Viceroy's Council), there were an estimated 8 or 9 million slaves in India in 1841. About 15% of the population of Malabar were slaves. Slavery was legally abolished in the possessions of the East India Company by the Indian Slavery Act, 1843.[3]
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The hill tribe people in Indochina were "hunted incessantly and carried off as slaves by the Siamese (Thai), the Anamites (Vietnamese), and the Cambodians".[248] A Siamese military campaign in Laos in 1876 was described by a British observer as having been "transformed into slave-hunting raids on a large scale".[249] The census, taken in 1879, showed that 6% of the population in the Malay sultanate of Perak were slaves.[250] Enslaved people made up about two-thirds of the population in part of North Borneo in the 1880s.[250]
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After the Portuguese first made contact with Japan in 1543, a large scale slave trade developed in which Portuguese purchased Japanese as slaves in Japan and sold them to various locations overseas, including Portugal, throughout the 16th and 17th centuries.[251][252] Many documents mention the large slave trade along with protests against the enslavement of Japanese. Japanese slaves are believed to be the first of their nation to end up in Europe, and the Portuguese purchased large numbers of Japanese slave girls to bring to Portugal for sexual purposes, as noted by the Church[253] in 1555. Japanese slave women were even sold as concubines to Asian lascar and African crew members, along with their European counterparts serving on Portuguese ships trading in Japan, mentioned by Luis Cerqueira, a Portuguese Jesuit, in a 1598 document.[254] Japanese slaves were brought by the Portuguese to Macau, where they were enslaved to Portuguese or became slaves to other slaves.[255][256]
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Some Korean slaves were bought by the Portuguese and brought back to Portugal from Japan, where they had been among the tens of thousands of Korean prisoners of war transported to Japan during the Japanese invasions of Korea (1592–98).[257][258] Historians pointed out that at the same time Hideyoshi expressed his indignation and outrage at the Portuguese trade in Japanese slaves, he was engaging in a mass slave trade of Korean prisoners of war in Japan.[259][260]
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Fillippo Sassetti saw some Chinese and Japanese slaves in Lisbon among the large slave community in 1578, although most of the slaves were black.[261][262][263][264][265]
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The Portuguese "highly regarded" Asian slaves from the East much more "than slaves from sub-Saharan Africa".[266] The Portuguese attributed qualities like intelligence and industriousness to Chinese and Japanese slaves.[267][268][269][270]
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King Sebastian of Portugal feared rampant slavery was having a negative effect on Catholic proselytization, so he commanded that it be banned in 1571.[271][272]Hideyoshi was so disgusted that his own Japanese people were being sold en masse into slavery on Kyushu, that he wrote a letter to Jesuit Vice-Provincial Gaspar Coelho on July 24, 1587, to demand the Portuguese, Siamese (Thai), and Cambodians stop purchasing and enslaving Japanese and return Japanese slaves who ended up as far as India.[273][274][275] Hideyoshi blamed the Portuguese and Jesuits for this slave trade and banned Christian proselytizing as a result.[276][self-published source][277] In 1595, a law was passed by Portugal banning the selling and buying of Chinese and Japanese slaves.[278]
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During the Joseon period, the nobi population could fluctuate up to about one-third of the population, but on average the nobi made up about 10% of the total population.[81] The nobi system declined beginning in the 18th century.[279] Since the outset of the Joseon dynasty and especially beginning in the 17th century, there was harsh criticism among prominent thinkers in Korea about the nobi system. Even within the Joseon government, there were indications of a shift in attitude toward the nobi.[280] King Yeongjo implemented a policy of gradual emancipation in 1775,[82] and he and his successor King Jeongjo made many proposals and developments that lessened the burden on nobi, which led to the emancipation of the vast majority of government nobi in 1801.[280] In addition, population growth,[82] numerous escaped slaves,[81] growing commercialization of agriculture, and the rise of the independent small farmer class contributed to the decline in the number of nobi to about 1.5% of the total population by 1858.[281] The hereditary nobi system was officially abolished around 1886–87,[81][281] and the rest of the nobi system was abolished with the Gabo Reform of 1894.[81][282] However, slavery did not completely disappear in Korea until 1930, during Imperial Japanese rule.
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During the Imperial Japanese occupation of Korea around World War II, some Koreans were used in forced labor by the Imperial Japanese, in conditions which have been compared to slavery.[81][283] These included women forced into sexual slavery by the Imperial Japanese Army before and during World War II, known as "comfort women".[81][283]
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Slaves (he mōkai) had a recognised social role in traditional Māori society in New Zealand.[284]
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Blackbirding occurred in the Pacific, especially in the 19th century.
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In Constantinople, about one-fifth of the population consisted of slaves.[285] The city was a major centre of the slave trade in the 15th and later centuries.
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Slaves were provided by Tatar raids on Slavic villages[286] but also by conquest and the suppression of rebellions, in the aftermath of which entire populations were sometimes enslaved and sold across the Empire, reducing the risk of future rebellion. The Ottomans also purchased slaves from traders who brought slaves into the Empire from Europe and Africa. It has been estimated that some 200,000 slaves – mainly Circassians – were imported into the Ottoman Empire between 1800 and 1909.[250] As late as 1908, women slaves were still sold in the Ottoman Empire.[287]
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Until the late 18th century, the Crimean Khanate (a Muslim Tatar state) maintained a massive slave trade with the Ottoman Empire and the Middle East.[106] The slaves were captured in southern Russia, Poland-Lithuania, Moldavia, Wallachia, and Circassia by Tatar horsemen[288] and sold in the Crimean port of Kaffa.[289] About 2 million mostly Christian slaves were exported over the 16th and 17th centuries[290] until the Crimean Khanate was destroyed by the Russian Empire in 1783.[291]
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A slave market for captured Russian and Persian slaves was centred in the Central Asian khanate of Khiva.[292] In the early 1840s, the population of the Uzbek states of Bukhara and Khiva included about 900,000 slaves.[250] Darrel P. Kaiser wrote, "Kazakh-Kirghiz tribesmen kidnapped 1573 settlers from colonies [German settlements in Russia] in 1774 alone and only half were successfully ransomed. The rest were killed or enslaved."[293]
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Even though slavery is now outlawed in every country, the number of slaves today is estimated as between 12 million and 29.8 million.[294][295][296] According to a broad definition of slavery, there were 27 million people in slavery in 1999, spread all over the world.[297] In 2005, the International Labour Organization provided an estimate of 12.3 million forced labourers.[298] Siddharth Kara has also provided an estimate of 28.4 million slaves at the end of 2006 divided into three categories: bonded labour/debt bondage (18.1 million), forced labour (7.6 million), and trafficked slaves (2.7 million).[42] Kara provides a dynamic model to calculate the number of slaves in the world each year, with an estimated 29.2 million at the end of 2009.
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According to a 2003 report by Human Rights Watch, an estimated 15 million children in debt bondage in India work in slavery-like conditions to pay off their family's debts.[300][301]
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A report by the Walk Free Foundation in 2013,[302] found India had the highest number of slaves, nearly 14 million, followed by China (2.9 million), Pakistan (2.1 million), Nigeria, Ethiopia, Russia, Thailand, Democratic Republic of Congo, Myanmar and Bangladesh; while the countries with the highest proportions of slaves were Mauritania, Haiti, Pakistan, India and Nepal.[303]
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In June 2013, U.S. State Department released a report on slavery. It placed Russia, China, and Uzbekistan in the worst offenders category. Cuba, Iran, North Korea, Sudan, Syria, and Zimbabwe were at the lowest level. The list also included Algeria, Libya, Saudi Arabia and Kuwait among a total of 21 countries.[304][305]
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The Walk Free Foundation reported in 2018 that slavery in wealthy Western societies is much more prevalent than previously known, in particular the United States and Great Britain, which have 403,000 (one in 800) and 136,000 slaves respectively. Andrew Forrest, founder of the organization, said that "The United States is one of the most advanced countries in the world yet has more than 400,000 modern slaves working under forced labor conditions."[306] An estimated 40.3 million are enslaved globally, with North Korea having the most slaves at 2.6 million (one in 10). The foundation defines contemporary slavery as "situations of exploitation that a person cannot refuse or leave because of threats, violence, coercion, abuse of power, or deception."[307]
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During the Second Libyan Civil War, Libyans started capturing Sub-Saharan African migrants trying to get to Europe through Libya and selling them on slave markets or holding them hostage for ransom[308] Women are often raped, used as sex slaves, or sold to brothels.[309][310][311] Child migrants suffer from abuse and child rape in Libya.[312][313]
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In Mauritania, the last country to abolish slavery (in 1981), it is estimated that 20% of its 3 million population, are enslaved as bonded laborers.[314][315][316] Slavery in Mauritania was criminalized in August 2007.[317] However, although slavery, as a practice, was legally banned in 1981, it was not a crime to own a slave until 2007.[318] Although many slaves have escaped or have been freed since 2007, as of 2012[update], only one slave owner had been sentenced to serve time in prison.[319]
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While American slaves in 1809 were sold for around $40,000 (in inflation adjusted dollars), a slave nowadays can be bought for just $90, making replacement more economical than providing long-term care.[320] Slavery is a multibillion-dollar industry with estimates of up to $35 billion generated annually.[321]
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Victims of human trafficking are typically recruited through deceit or trickery (such as a false job offer, false migration offer, or false marriage offer), sale by family members, recruitment by former slaves, or outright abduction. Victims are forced into a "debt slavery" situation by coercion, deception, fraud, intimidation, isolation, threat, physical force, debt bondage or even force-feeding with drugs to control their victims.[322] "Annually, according to U.S. government-sponsored research completed in 2006, approximately 800,000 people are trafficked across national borders, which does not include millions trafficked within their own countries. Approximately 80% of transnational victims are women and girls, and up to 50% are minors, reports the U.S. State Department in a 2008 study.[323]
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While the majority of trafficking victims are women who are forced into prostitution (in which case the practice is called sex trafficking), victims also include men, women and children who are forced into manual labour.[324] Because of the illegal nature of human trafficking, its extent is unknown. A U.S. government report, published in 2005, estimates that about 700,000 people worldwide are trafficked across borders each year. This figure does not include those who are trafficked internally.[324] Another research effort revealed that roughly 1.5 million individuals are trafficked either internally or internationally each year, of which about 500,000 are sex trafficking victims.[42]
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Slavery has existed, in one form or another, throughout recorded human history – as have, in various periods, movements to free large or distinct groups of slaves.
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Ashoka, who ruled the Maurya Empire in the Indian subcontinent from 269–232 BCE, abolished the slave trade but not slavery.[326] The Qin dynasty, which ruled China from 221 to 206 BC, abolished slavery and discouraged serfdom. However, many of its laws were overturned when the dynasty was overthrown.[327] Slavery was again abolished by Wang Mang in China in 17 CE but was reinstituted after his assassination.[328]
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The Spanish colonization of the Americas sparked a discussion about the right to enslave Native Americans. A prominent critic of slavery in the Spanish New World colonies was Bartolomé de las Casas, who opposed the enslavement of Native Americans, and as well as Africans in America.
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One of the first protests against slavery came from German and Dutch Quakers in Pennsylvania in 1688.[329] In 1777, Vermont, at the time an independent nation, became the first portion of what would become the United States to abolish slavery.[329]
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In the United States, all of the northern states had abolished slavery by 1804, with New Jersey being the last to act.[330] Abolitionist pressure produced a series of small steps towards emancipation. After the Act Prohibiting Importation of Slaves went into effect on January 1, 1808, the importation of slaves into the United States was prohibited,[331] but not the internal slave trade, nor involvement in the international slave trade externally. Legal slavery persisted; most of those slaves already in the U.S. were legally emancipated only in 1863. Many American abolitionists took an active role in opposing slavery by supporting the Underground Railroad. Violent clashes between anti-slavery and pro-slavery Americans included Bleeding Kansas, a series of political and armed disputes in 1854–1861 as to whether Kansas would join the United States as a slave or free state. By 1860, the total number of slaves reached almost four million, and the American Civil War, beginning in 1861, led to the end of slavery in the United States.[332] In 1863, Lincoln issued the Emancipation Proclamation, which freed slaves held in the Confederate States; the 13th Amendment to the U. S. Constitution prohibited most forms of slavery throughout the country.
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Many of the freed slaves became sharecroppers and indentured servants. In this manner, some became tied to the very parcel of land into which they had been born a slave having little freedom or economic opportunity because of Jim Crow laws which perpetuated discrimination, limited education, promoted persecution without due process and resulted in continued poverty. Fear of reprisals such as unjust incarcerations and lynchings deterred upward mobility further.
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France abolished slavery in 1794.[329]
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One of the most significant milestones in the campaign to abolish slavery throughout the world occurred in England in 1772, with British Judge Lord Mansfield, whose opinion in Somersett's Case was widely taken to have held that slavery was illegal in England. This judgement also laid down the principle that slavery contracted in other jurisdictions could not be enforced in England.[333]
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Sons of Africa was a late 18th-century British group that campaigned to end slavery. Its members were Africans in London, freed slaves who included Ottobah Cugoano, Olaudah Equiano and other leading members of London's black community. It was closely connected to the Society for the Abolition of the Slave Trade, a non-denominational group founded in 1787, whose members included Thomas Clarkson. British Member of Parliament William Wilberforce led the anti-slavery movement in the United Kingdom, although the groundwork was an anti-slavery essay by Clarkson. Wilberforce was urged by his close friend, Prime Minister William Pitt the Younger, to make the issue his own and was also given support by reformed Evangelical John Newton. The Slave Trade Act was passed by the British Parliament on March 25, 1807, making the slave trade illegal throughout the British Empire,[334] Wilberforce also campaigned for abolition of slavery in the British Empire, which he lived to see in the Slavery Abolition Act 1833.
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After the 1807 act abolishing the slave trade was passed, these campaigners switched to encouraging other countries to follow suit, notably France and the British colonies. Between 1808 and 1860, the British West Africa Squadron seized approximately 1,600 slave ships and freed 150,000 Africans who were aboard.[335] 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.[336]
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In 1839, the world's oldest international human rights organization, Anti-Slavery International, was formed in Britain by Joseph Sturge, which campaigned to outlaw slavery in other countries.[337] There were celebrations in 2007 to commemorate the 200th anniversary of the abolition of the slave trade in the United Kingdom through the work of the British Anti-Slavery Society.
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In the 1860s, David Livingstone's reports of atrocities within the Arab slave trade in Africa stirred up the interest of the British public, reviving the flagging abolitionist movement. The Royal Navy throughout the 1870s attempted to suppress "this abominable Eastern trade", at Zanzibar in particular. In 1905, the French abolished indigenous slavery in most of French West Africa.[338]
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On December 10, 1948, the United Nations General Assembly adopted the Universal Declaration of Human Rights, which declared freedom from slavery is an internationally recognized human right. Article 4 of the Universal Declaration of Human Rights states:
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No one shall be held in slavery or servitude; slavery and the slave trade shall be prohibited in all their forms.[339]
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In 2014, for the first time in history, major leaders of many religions, Buddhist, Anglican, Catholic, Orthodox Christian, Hindu, Jewish, and Muslim met to sign a shared commitment against modern-day slavery; the declaration they signed calls for the elimination of slavery and human trafficking by 2020.[340] The signatories were: Pope Francis, Mātā Amṛtānandamayī, Bhikkhuni Thich Nu Chân Không (representing Zen Master Thích Nhất Hạnh), Datuk K Sri Dhammaratana, Chief High Priest of Malaysia, Rabbi Abraham Skorka, Rabbi David Rosen, Abbas Abdalla Abbas Soliman, Undersecretary of State of Al Azhar Alsharif (representing Mohamed Ahmed El-Tayeb, Grand Imam of Al-Azhar), Grand Ayatollah Mohammad Taqi al-Modarresi, Sheikh Naziyah Razzaq Jaafar, Special advisor of Grand Ayatollah (representing Grand Ayatollah Sheikh Basheer Hussain al Najafi), Sheikh Omar Abboud, Justin Welby, Archbishop of Canterbury, and Metropolitan Emmanuel of France (representing Ecumenical Patriarch Bartholomew.)[340]
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Groups such as the American Anti-Slavery Group, Anti-Slavery International, Free the Slaves, the Anti-Slavery Society, and the Norwegian Anti-Slavery Society continue to campaign to eliminate slavery.
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On May 21, 2001, the National Assembly of France passed the Taubira law, recognizing slavery as a crime against humanity. Apologies on behalf of African nations, for their role in trading their countrymen into slavery, remain an open issue since slavery was practiced in Africa even before the first Europeans arrived and the Atlantic slave trade was performed with a high degree of involvement of several African societies. The black slave market was supplied by well-established slave trade networks controlled by local African societies and individuals.[341]
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There is adequate evidence citing case after case of African control of segments of the trade. Several African nations such as the Calabar and other southern parts of Nigeria had economies depended solely on the trade. African peoples such as the Imbangala of Angola and the Nyamwezi of Tanzania would serve as middlemen or roving bands warring with other African nations to capture Africans for Europeans.[342]
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Several historians have made important contributions to the global understanding of the African side of the Atlantic slave trade. By arguing that African merchants determined the assemblage of trade goods accepted in exchange for slaves, many historians argue for African agency and ultimately a shared responsibility for the slave trade.[343]
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In 1999, President Mathieu Kerekou of Benin issued a national apology for the central role Africans played in the Atlantic slave trade.[344] Luc Gnacadja, minister of environment and housing for Benin, later said: "The slave trade is a shame, and we do repent for it."[345] Researchers estimate that 3 million slaves were exported out of the Slave Coast bordering the Bight of Benin.[345] President Jerry Rawlings of Ghana also apologized for his country's involvement in the slave trade.[344]
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The issue of an apology is linked to reparations for slavery and is still being pursued by entities across the world. For example, the Jamaican Reparations Movement approved its declaration and action plan. In 2007, British Prime Minister Tony Blair made a formal apology for Great Britain's involvement in slavery.[346]
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On February 25, 2007, the Commonwealth of Virginia resolved to 'profoundly regret' and apologize for its role in the institution of slavery. Unique and the first of its kind in the U.S., the apology was unanimously passed in both Houses as Virginia approached the 400th anniversary of the founding of Jamestown.[347]
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On August 24, 2007, Mayor Ken Livingstone of London apologized publicly for Britain's role in colonial slave trade. "You can look across there to see the institutions that still have the benefit of the wealth they created from slavery," he said, pointing towards the financial district. He claimed that London was still tainted by the horrors of slavery. Specifically, London outfitted, financed, and insured many of the ships, which helped fund the building of London's docks.[348] Officials in Liverpool, which was a large slave trading port, apologized in 1999.[349]
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On July 30, 2008, the United States House of Representatives passed a resolution apologizing for American slavery and subsequent discriminatory laws.[350] In June 2009, the U.S. Senate passed a resolution apologizing to African-Americans for the "fundamental injustice, cruelty, brutality, and inhumanity of slavery".[351] The news was welcomed by President Barack Obama, the nation's first president of African descent.[352] Some of President Obama's ancestors may have been slave owners.[353]
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In 2010, Libyan leader Muammar Gaddafi apologized for Arab involvement in the slave trade, saying: "I regret the behavior of the Arabs… They brought African children to North Africa, they made them slaves, they sold them like animals, and they took them as slaves and traded them in a shameful way."[354]
|
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There have been movements to achieve reparations for those formerly held as slaves or for their descendants. Claims for reparations for being held in slavery are handled as a civil law matter in almost every country. This is often decried as a serious problem, since former slaves' relatives lack of money means they often have limited access to a potentially expensive and futile legal process. Mandatory systems of fines and reparations paid to an as yet undetermined group of claimants from fines, paid by unspecified parties, and collected by authorities have been proposed by advocates to alleviate this "civil court problem." Since in almost all cases there are no living ex-slaves or living ex-slave owners these movements have gained little traction. In nearly all cases the judicial system has ruled that the statute of limitations on these possible claims has long since expired.
|
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The word slavery is often used as a pejorative to describe any activity in which one is coerced into performing. Some argue that military drafts and other forms of coerced government labour constitute "state-operated slavery."[355][356] Some libertarians and anarcho-capitalists view government taxation as a form of slavery.[357]
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"Slavery" has been used by some anti-psychiatry proponents to define involuntary psychiatric patients, claiming there are no unbiased physical tests for mental illness and yet the psychiatric patient must follow the orders of the psychiatrist. They assert that instead of chains to control the slave, the psychiatrist uses drugs to control the mind.[358] Drapetomania was a psychiatric diagnosis for a slave who did not want to be a slave.[359][360]
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Some proponents of animal rights have applied the term slavery to the condition of some or all human-owned animals, arguing that their status is comparable to that of human slaves.[361]
|
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The labor market, as institutionalized under today's market economic systems, has been criticized by mainstream socialists and by anarcho-syndicalists, who utilise the term wage slavery as a pejorative or dysphemism for wage labour.[362][363][364][365][366][367] Socialists draw parallels between the trade of labour as a commodity and slavery. Cicero is also known to have suggested such parallels.[368]
|
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Film has been the most influential medium in the presentation of the history of slavery to the general public around the world.[369] The American film industry has had a complex relationship with slavery and until recent decades often avoided the topic. Films such as Birth of a Nation (1915)[370] and Gone with the Wind (1939) became controversial because they gave a favourable depiction. In 1940 The Santa Fe Trail gave a liberal but ambiguous interpretation of John Brown's attacks on slavery.[371] Song of the South gave a favorable outlook on slavery in the United States in 1946.
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The Civil Rights Movement in the 1950s made defiant slaves into heroes.[372] The question of slavery in American memory necessarily involves its depictions in feature films.[373]
|
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|
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+
Most Hollywood films used American settings, although Spartacus (1960), dealt with an actual revolt in the Roman Empire known as the Third Servile War. The revolt failed, and all the rebels were executed, but their spirit lived on according to the film.[374] Spartacus stays surprisingly close to the historical record.[375]
|
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+
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The Last Supper (La última cena in Spanish) was a 1976 film directed by Cuban Tomás Gutiérrez Alea about the teaching of Christianity to slaves in Cuba, and emphasizes the role of ritual and revolt. Burn! takes place on the imaginary Portuguese island of Queimada (where the locals speak Spanish) and it merges historical events that took place in Brazil, Cuba, Santo Domingo, Jamaica, and elsewhere.
|
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Historians agree that films have largely shaped historical memories, but they debate issues of accuracy, plausibility, moralism, sensationalism, how facts are stretched in search of broader truths, and suitability for the classroom.[376][377] Berlin argues that critics complain if the treatment emphasizes historical brutality, or if it glosses over the harshness to highlight the emotional impact of slavery.[378]
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Slavery has historically been widespread in Africa, and still continues today in some African countries.
|
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Systems of servitude and slavery were common in parts of Africa in ancient times, as they were in much of the rest of the ancient world. When the Arab slave trade (which started in the 7th century) and Atlantic slave trade (which started in the 16th century) began, many of the pre-existing local African slave systems began supplying captives for slave markets outside Africa.[1]
|
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Slavery in historical Africa was practiced in many different forms: Debt slavery, enslavement of war captives, military slavery, slavery for prostitution, and criminal slavery were all practiced in various parts of Africa.[2] Slavery for domestic and court purposes was widespread throughout Africa. Plantation slavery also occurred, primarily on the eastern coast of Africa and in parts of West Africa. The importance of domestic plantation slavery increased during the 19th century, due to the abolition of the Atlantic slave trade. Many African states dependent on the international slave trade reoriented their economies towards legitimate commerce worked by slave labor.[3]
|
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Multiple forms of slavery and servitude have existed throughout African history, and were shaped by indigenous practices of slavery as well as the Roman institution of slavery[citation needed] (and the later Christian views on slavery), the Islamic institutions of slavery via the Arab slave trade, and eventually the Atlantic slave trade.[1]
|
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Slavery was a part of the economic structure of African societies for many centuries, although the extent varied.[1]
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Ibn Battuta, who visited the ancient kingdom of Mali in the mid-14th century, recounts that the local inhabitants vied with each other in the number of slaves and servants they had, and was himself given a slave boy as a "hospitality gift."[4] In sub-Saharan Africa, the slave relationships were often complex, with rights and freedoms given to individuals held in slavery and restrictions on sale and treatment by their masters.[5] Many communities had hierarchies between different types of slaves: for example, differentiating between those who had been born into slavery and those who had been captured through war.[6]
|
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Travels in the Interior of Africa, Mungo Park, Travels in the Interior of Africa v. II, Chapter XXII – War and Slavery.
|
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+
The forms of slavery in Africa were closely related to kinship structures. In many African communities, where land could not be owned, enslavement of individuals was used as a means to increase the influence a person had and expand connections.[7] This made slaves a permanent part of a master's lineage, and the children of slaves could become closely connected with the larger family ties.[1] Children of slaves born into families could be integrated into the master's kinship group and rise to prominent positions within society, even to the level of chief in some instances.[6] However, stigma often remained attached, and there could be strict separations between slave members of a kinship group and those related to the master.[7]
|
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Chattel slavery is a specific servitude relationship where the slave is treated as the property of the owner. As such, the owner is free to sell, trade, or treat the slave as he would other pieces of property, and the children of the slave often are retained as the property of the master.[8] There is evidence of long histories of chattel slavery in the Nile River valley and North Africa, but evidence is incomplete about the extent and practices of chattel slavery throughout much of the rest of the continent prior to written records by Arab or European traders.[8][9]
|
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Many slave relationships in Africa revolved around domestic slavery, where slaves would work primarily in the house of the master, but retain some freedoms. Domestic slaves could be considered part of the master's household and would not be sold to others without extreme cause. The slaves could own the profits from their labour (whether in land or in products), and could marry and pass the land on to their children in many cases.[6][10]
|
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Pawnship, or debt bondage slavery, involves the use of people as collateral to secure the repayment of debt. Slave labor is performed by the debtor, or a relative of the debtor (usually a child). Pawnship was a common form of collateral in West Africa. It involved the pledge of a person or a member of that person's family, to serve another person providing credit. Pawnship was related to, yet distinct from, slavery in most conceptualizations, because the arrangement could include limited, specific terms of service to be provided, and because kinship ties would protect the person from being sold into slavery. Pawnship was a common practice throughout West Africa prior to European contact, including among the Akan people, the Ewe people, the Ga people, the Yoruba people, and the Edo people (in modified forms, it also existed among the Efik people, the Igbo people, the Ijaw people, and the Fon people).[11][12]
|
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|
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Military slavery involved the acquisition and training of conscripted military units which would retain the identity of military slaves even after their service.[13] Slave soldier groups would be run by a Patron, who could be the head of a government or an independent warlord, and who would send his troops out for money and his own political interests.[13]
|
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This was most significant in the Nile valley (primarily in Sudan and Uganda), with slave military units organized by various Islamic authorities,[13] and with the war chiefs of Western Africa.[14] The military units in Sudan were formed in the 1800s through large-scale military raiding in the area which is currently the countries of Sudan and South Sudan.[13]
|
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|
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Moreover, a considerable number of the men born between 1800 and 1849 in West African regions (today Ghana and Burkina Faso) and abducted as slaves to serve in the army in Dutch Indonesia. Interestingly, soldiers were on average 3 cm taller than other West African population. Furthermore, data showed, West Africans were shorter than North Europeans but of almost equal height to South Europeans. This was mainly related to the quality of the nutrition and healthcare.[15]
|
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Human sacrifice was common in West African states up to and during the 19th century. Although archaeological evidence is not clear on the issue prior to European contact, in those societies that practiced human sacrifice, slaves became the most prominent victims.[1]
|
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+
|
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+
The Annual Customs of Dahomey were the most notorious example of the human sacrifice of slaves, where 500 prisoners would be sacrificed. Sacrifices were carried out all along the West African coast and further inland. Sacrifices were common in the Benin Empire, in what is now Ghana, and in the small independent states in what is now southern Nigeria. In the Ashanti Region, human sacrifice was often combined with capital punishment.[16][17][18]
|
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+
|
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Many nations such as the Ashanti of present-day Ghana and the Yoruba of present-day Nigeria were involved in slave-trading. Groups such as the Imbangala of Angola and the Nyamwezi of Tanzania would serve as intermediaries or roving bands, waging war on African states to capture people for export as slaves. Historians John Thornton and Linda Heywood of Boston University have estimated that of the Africans captured and then sold as slaves to the New World in the Atlantic slave trade, around 90% were enslaved by fellow Africans who sold them to European traders.[19] Henry Louis Gates, the Harvard Chair of African and African American Studies, has stated that "without complex business partnerships between African elites and European traders and commercial agents, the slave trade to the New World would have been impossible, at least on the scale it occurred."[19]
|
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|
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+
The entire Bubi ethnic group descends from escaped intertribal slaves owned by various ancient West-central African ethnic groups.[citation needed]
|
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|
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+
Like most other regions of the world, slavery and forced labor existed in many kingdoms and societies of Africa for hundreds of years.[20][5] According to Ugo Kwokeji, early European reports of slavery throughout Africa in the 1600s are unreliable because they often conflated various forms of servitude as equal to chattel slavery.[21]
|
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The best evidence of slave practices in Africa come from the major kingdoms, particularly along the coast, and there is little evidence of widespread slavery practices in stateless societies.[1][5][6] Slave trading was mostly secondary to other trade relationships; however, there is evidence of a trans-Saharan slave trade route from Roman times which persisted in the area after the fall of the Roman Empire.[8] However, kinship structures and rights provided to slaves (except those captured in war) appears to have limited the scope of slave trading before the start of the Arab slave trade and the Atlantic slave trade.[5]
|
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Slavery in northern Africa dates back to ancient Egypt. The New Kingdom (1558–1080 BC) brought in large numbers of slaves as prisoners of war up the Nile valley and used then for domestic and supervised labor.[23] Ptolemaic Egypt (305 BC–30 BC) used both land and sea routes to bring slaves in.[24]
|
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+
Chattel slavery had been legal and widespread throughout North Africa when the region was controlled by the Roman Empire (145 BC – ca. 430 AD), and by the Eastern Romans from 533 to 695). A slave trade bringing Saharans through the desert to North Africa, which existed in Roman times, continued and documentary evidence in the Nile Valley shows it to have been regulated there by treaty.[8] As the Roman republic expanded, it enslaved defeated enemies and Roman conquests in Africa were no exception. For example, Orosius records that Rome enslaved 27,000 people from North Africa in 256 BC.[25] Piracy became an important source of slaves for the Roman Empire and in the 5th century AD pirates would raid coastal North African villages and enslave the captured.[26] Chattel slavery persisted after the fall of the Roman Empire in the largely Christian communities of the region. After the Islamic expansion into most of the region because of the trade expansion across the Sahara,[27] the practices continued and eventually, the assimilative form of slavery spread to major societies on the southern end of the Sahara (such as Mali, Songhai, and Ghana).[1]
|
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The medieval slave trade in Europe was mainly to the East and South: the Christian Byzantine Empire and the Muslim World were the destinations, Central and Eastern Europe an important source of slaves.[28] Slavery in medieval Europe was so widespread that the Roman Catholic Church repeatedly prohibited it—or at least the export of Christian slaves to non-Christian lands was prohibited at, for example, the Council of Koblenz in 922, the Council of London in 1102, and the Council of Armagh in 1171. Because of religious constraints, the slave trade was carried out in parts of Europe by Iberian Jews (known as Radhanites) who were able to transfer slaves from pagan Central Europe through Christian Western Europe to Muslim countries in Al-Andalus and Africa.[29]
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The Mamluks were slave soldiers who converted to Islam and served the Muslim caliphs and the Ayyubid Sultans during the Middle Ages. The first Mamluks served the Abbasid caliphs in 9th century Baghdad. Over time, they became a powerful military caste, and on more than one occasion they seized power for themselves, for example, ruling Egypt from 1250–1517. From 1250 Egypt had been ruled by the Bahri dynasty of Kipchak Turk origin. White enslaved people from the Caucasus served in the army and formed an elite corps of troops, eventually revolting in Egypt to form the Burgi dynasty.[30]
|
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+
According to Robert Davis between 1 million and 1.25 million Europeans were captured by Barbary pirates and sold as slaves to North Africa and the Ottoman Empire between the 16th and 19th centuries.[31][32] However, to extrapolate his numbers, Davis assumes the number of European slaves captured by Barbary pirates were constant for a 250-year period, stating:
|
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+
|
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+
"There are no records of how many men, women and children were enslaved, but it is possible to calculate roughly the number of fresh captives that would have been needed to keep populations steady and replace those slaves who died, escaped, were ransomed, or converted to Islam. On this basis, it is thought that around 8,500 new slaves were needed annually to replenish numbers - about 850,000 captives over the century from 1580 to 1680. By extension, for the 250 years between 1530 and 1780, the figure could easily have been as high as 1,250,000."[33]
|
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|
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Davis' numbers have been disputed by other historians, such as David Earle, who cautions that the true picture of European slaves is clouded by the fact the corsairs also seized non-Christian whites from eastern Europe and black people from west Africa.[33]
|
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+
|
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+
In addition, the number of slaves traded was hyperactive, with exaggerated estimates relying on peak years to calculate averages for entire centuries, or millennia. Hence, there were wide fluctuations year-to-year, particularly in the 18th and 19th centuries, given slave imports, and also given the fact that, prior to the 1840s, there are no consistent records. Middle East expert John Wright cautions that modern estimates are based on back-calculations from human observation.[34]
|
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Such observations, across the late 1500s and early 1600s observers, estimate that around 35,000 European Christian slaves held throughout this period on the Barbary Coast, across Tripoli, Tunis, but mostly in Algiers. The majority were sailors (particularly those who were English), taken with their ships, but others were fishermen and coastal villagers. However, most of these captives were people from lands close to Africa, particularly Spain and Italy.[35]
|
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|
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+
The coastal villages and towns of Italy, Portugal, Spain, and Mediterranean islands were frequently attacked by the pirates, and long stretches of the Italian and Spanish coasts were almost completely abandoned by their inhabitants; after 1600 Barbary pirates occasionally entered the Atlantic and struck as far north as Iceland. The most famous corsairs were the Ottoman Barbarossa ("Redbeard"), and his older brother Oruç, Turgut Reis (known as Dragut in the West), Kurtoğlu (known as Curtogoli in the West), Kemal Reis, Salih Reis, and Koca Murat Reis.[32][36]
|
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In 1544, Hayreddin Barbarossa captured Ischia, taking 4,000 prisoners in the process, and deported to slavery some 9,000 inhabitants of Lipari, almost the entire population.[37] In 1551, Dragut enslaved the entire population of the Maltese island Gozo, between 5,000 and 6,000, sending them to Libya. When pirates sacked Vieste in southern Italy in 1554 they took an estimated 7,000 slaves. In 1555, Turgut Reis sailed to Corsica and ransacked Bastia, taking 6,000 prisoners. In 1558 Barbary corsairs captured the town of Ciutadella, destroyed it, slaughtered the inhabitants, and carried off 3,000 survivors to Istanbul as slaves.[38] In 1563 Turgut Reis landed at the shores of the province of Granada, Spain, and captured the coastal settlements in the area like Almuñécar, along with 4,000 prisoners. Barbary pirates frequently attacked the Balearic islands, resulting in many coastal watchtowers and fortified churches being erected. The threat was so severe that Formentera became uninhabited.[39][40]
|
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|
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Early modern sources are full of descriptions of the sufferings of Christian galley slaves of the Barbary corsairs:
|
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+
|
63 |
+
Those who have not seen a galley at sea, especially in chasing or being chased, cannot well conceive the shock such a spectacle must give to a heart capable of the least tincture of commiseration. To behold ranks and files of half-naked, half-starved, half-tanned meagre wretches, chained to a plank, from whence they remove not for months together (commonly half a year), urged on, even beyond human strength, with cruel and repeated blows on their bare flesh...[41]
|
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|
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As late as 1798, the islet near Sardinia was attacked by the Tunisians and over 900 inhabitants were taken away as slaves.
|
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|
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Sahrawi-Moorish society in Northwest Africa was traditionally (and still is, to some extent) stratified into several tribal castes, with the Hassane warrior tribes ruling and extracting tribute – horma – from the subservient Berber-descended znaga tribes. Below them ranked servile groups known as Haratin, a black population.[42]
|
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Enslaved Sub-Saharan Africans were also transported across North Africa into Arabia to do agricultural work because of their resistance to malaria that plagued the Arabia and North Africa at the time of early enslavement. Sub-Saharan Africans were able to endure the malaria-infested lands they were transported to, which is why North Africans were not transported despite their close proximity to Arabia and its surrounding lands.[43]
|
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+
|
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+
In the Horn of Africa, the Christian kings of the Ethiopian Empire often exported pagan Nilotic slaves from their western borderlands, or from newly conquered or reconquered lowland territories.[44] The Somali and Afar Muslim sultanates, such as the medieval Adal Sultanate, through their ports also traded Zanj (Bantu) slaves who were captured from the hinterland.[45]
|
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|
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Slavery, as practiced in Ethiopia, was essentially domestic and was geared more towards women; this was the trend for most of Africa as well. Women were transported across the Sahara, the Middle East, and the Mediterranean and the Indian Ocean trade more than men.[46] Enslaved people served in the houses of their masters or mistresses, and were not employed to any significant extent for productive purpose. The enslaved were regarded as second-class members of their owners' family.[47] The first attempt to abolish slavery in Ethiopia was made by Emperor Tewodros II (r. 1855–68),[48] although the slave trade was not abolished legally until 1923 with Ethiopia's ascension to the League of Nations.[49] Anti-Slavery Society estimated there were 2 million slaves in the early 1930s, out of an estimated population of between 8 and 16 million.[50] Slavery continued in Ethiopia until the Italian invasion in October 1935, when the institution was abolished by order of the Italian occupying forces.[51] In response to pressure by Western Allies of World War II, Ethiopia officially abolished slavery and involuntary servitude after having regained its independence in 1942.[52][53] On 26 August 1942, Haile Selassie issued a proclamation outlawing slavery.[54]
|
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|
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In Somali territories, slaves were purchased in the slave market exclusively to do work on plantation grounds.[55] In terms of legal considerations, the customs regarding the treatment of Bantu slaves were established by the decree of Sultans and local administrative legates[disambiguation needed]. Additionally, freedom for these plantation slaves was also often acquired through eventual emancipation, escape, and ransom.[55]
|
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+
|
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Oral tradition recounts slavery existing in the Kingdom of Kongo from the time of its formation with Lukeni lua Nimi enslaving the Mwene Kabunga whom he conquered to establish the kingdom.[56] Early Portuguese writings show that the Kingdom did have slavery before contact, but that they were primarily war captives from the Kingdom of Ndongo.[56][57]
|
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|
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+
Slavery was common along the Upper Congo River, and in the second half of the 18th century the region became a major source of slaves for the Atlantic Slave Trade, when high slave prices on the coast made long-distance slave trading profitable. When the Atlantic trade came to an end, the prices of slaves dropped dramatically, and the regional slave trade grew, dominated by Bobangi traders. The Bobangi also purchased a large number of slaves with profits from selling ivory, who they used to populate their villages. A distinction was made between two different types of slaves in this region; slaves who had been sold by their kin group, typically as a result of undesirable behavior such as adultery, were unlikely to attempt to flee. In addition to those considered socially undesirable, the sale of children was also common in times of famine. Slaves who were captured, however, were likely to attempt to escape and had to be moved hundreds of kilometers from their homes as a safeguard against this.[58]
|
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|
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The slave trade had a profound impact on this region of Central Africa, completely reshaping various aspects of society. For instance, the slave trade helped to create a robust regional trade network for the foodstuffs and crafted goods of small producers along the river. As the transport of only a few slaves in a canoe was sufficient to cover the cost of a trip and still make a profit, traders could fill any unused space on their canoes with other goods and transport them long distances without a significant markup on price. While the large profits from the Congo River slave trade only went to a small number of traders, this aspect of the trade provided some benefit to local producers and consumers.[59]
|
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|
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Various forms of slavery were practiced in diverse ways in different communities of West Africa prior to European trade.[20] Even though slavery did exist, it was not nearly as prevalent within most West African societies that were not Islamic before the Trans-Atlantic Slave Trade.[60][61] The prerequisites for slave societies to exist weren't present in West Africa prior to the Atlantic slave trade considering the small market sizes and the lack of a division of labor.[60] Most West African societies were formed in Kinship units which would make slavery a rather marginal part of the production process within them.[1] Slaves within Kinship-based societies would have had almost the same roles that free members had.[1] Martin Klein has said that before the Atlantic trade, slaves in Western Sudan “made up a small part of the population, lived within the household, worked alongside free members of the household, and participated in a network of face-to-face links.”[60] With the development of the trans-Saharan slave trade and the economies of gold in the western Sahel, a number of the major states became organized around the slave trade, including the Ghana Empire, the Mali Empire, and Songhai Empire.[62] However, other communities in West Africa largely resisted the slave trade. The Jola refused to participate in the slave trade up into the end of the seventeenth century, and didn't use slave labor within their own communities until the nineteenth century. The Kru and Baga also fought against the slave trade.[63] The Mossi Kingdoms tried to take over key sites in the trans-Saharan trade and, when these efforts failed, the Mossi became defenders against slave raiding by the powerful states of the western Sahel. The Mossi would eventually enter the slave trade in the 1800s with the Atlantic slave trade being the main market.[62]
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Senegal was a catalyst for slave trade, and from the Homann Heirs map figure shown, shows a starting point for migration and a firm port of trade. The culture of the Gold Coast was based largely on the power that individuals held, rather than the land cultivated by a family. Western Africa, and specifically places like Senegal, were able to arrive at the development of slavery through analyzing the aristocratic advantages of slavery and what would best suit the region. This sort of governing that used "political tool" of discerning the different labors and methods of assimilative slavery. The domestic and agricultural labor became more evidently primary in Western Africa due to slaves being regarded as these "political tools" of access and status. Slaves often had more wives than their owners, and this boosted the class of their owners. Slaves were not all used for the same purpose. European colonizing countries were participating in the trade to suit the economic needs of their countries. The parallel of "Moorish" traders found in the desert compared to the Portuguese traders that were not as established pointed out the differences in uses of slaves at this point, and where they were headed in the trade.
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Historian Walter Rodney identified no slavery or significant domestic servitude in early European accounts on the Upper Guinea region[6] and I. A. Akinjogbin contends that European accounts reveal that the slave trade was not a major activity along the coast controlled by the Yoruba people and Aja people before Europeans arrived.[64] In a paper read to the Ethnological Society of London in 1866, the viceroy of Lokoja Mr T. Valentine Robins, who in 1864 accompanied an expedition up the River Niger aboard HMS Investigator, described slavery in the region:
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Upon slavery Mr Robins remarked that it was not what people in England thought it to be. It means, as continually found in this part of Africa, belonging to a family group-there is no compulsory labour, the owner and the slave work together, eat like food, wear like clothing and sleep in the same huts. Some slaves have more wives than their masters. It gives protection to the slaves and everything necessary for their subsistence - food and clothing. A free man is worse off than a slave; he cannot claim his food from anyone.[65]
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With the beginning of the Atlantic slave trade, demand for slavery in West Africa increased and a number of states became centered on the slave trade and domestic slavery increased dramatically.[66] Hugh Clapperton in 1824 believed that half the population of Kano were enslaved people.[67]
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In the Senegambia region, between 1300 and 1900, close to one-third of the population was enslaved. In early Islamic states of the western Sahel, including Ghana (750–1076), Mali (1235–1645), Segou (1712–1861), and Songhai (1275–1591), about a third of the population were enslaved. In Sierra Leone in the 19th century about half of the population consisted of enslaved people. Among the Vai people, during the 19th century, three quarters of people were slaves. In the 19th century at least half the population was enslaved among the Duala of the Cameroon and other peoples of the lower Niger, the Kongo, and the Kasanje kingdom and Chokwe of Angola. Among the Ashanti and Yoruba a third of the population consisted of enslaved people. The population of the Kanem (1600–1800) was about one-third enslaved. It was perhaps 40% in Bornu (1580–1890). Between 1750 and 1900 from one- to two-thirds of the entire population of the Fulani jihad states consisted of enslaved people. The population of the Sokoto caliphate formed by Hausas in the northern Nigeria and Cameroon was half-enslaved in the 19th century. Slavery was widespread among Taureg peoples and lasted until at least 1975. Among the Adrar 15 percent of people were enslaved, and 75 percent of the Gurma were enslaved.[68]
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When British rule was first imposed on the Sokoto Caliphate and the surrounding areas in northern Nigeria at the turn of the 20th century, approximately 2 million to 2.5 million people there were enslaved.[69] Slavery in northern Nigeria was finally outlawed in 1936.[70]
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With sea trade from the eastern African Great Lakes region to Persia, China, and India during the first millennium AD, slaves are mentioned as a commodity of secondary importance to gold and ivory. When mentioned, the slave trade appears to be of a small-scale and mostly involves slave raiding of women and children along the islands of Kilwa Kisiwani, Madagascar, and Pemba. In places such as Uganda, the experience for women in slavery was different than that of customary slavery practices at the time. The roles assumed were based off gender and position within the society. First one must make the distinction in Ugandan slavery of peasants and slaves. Researchers Shane Doyle and Henri Médard assert the distinction with the following:
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"Peasants were rewarded for valour in battle by the present of slaves by the lord or chief for whom they had fought. They could be given slaves by relatives who had been promoted to the rank of chiefs, and they could inherit slaves from their fathers. There were the abanyage (those pillaged or stolen in war) as well as the abagule (those bought). All these came under the category of abenvumu or true slaves, that is to say people not free in any sense. In a superior position were the young Ganda given by their maternal uncles into slavery (or pawnship), usually in lieu of debts... Besides such slaves both chiefs and king were served by sons of well to do men who wanted to please them and attract favour for themselves or their children. These were the abasige and formed a big addition to a noble household.... All these different classes of dependents in a household were classed as Medard & Doyle abaddu (male servants) or abazana (female servants) whether they were slave or free-born.(175)"
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In the Great Lakes region of Africa (around present-day Uganda), linguistic evidence shows the existence of slavery through war capture, trade, and pawning going back hundreds of years; however, these forms, particularly pawning, appear to have increased significantly in the 18th and 19th centuries.[71] These slaves were considered to be more trustworthy than those from the Gold Coast. They were regarded with more prestige because of the training they responded to.
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The language for slaves in the Great Lakes region varied. This region of water made it easy for capture of slaves and transport. Captive, refugee, slave, peasant were all used in order to describe those in the trade. The distinction was made by where and for what purpose they would be utilized for. Methods like pillage, plunder, and capture were all semantics common in this region to depict the trade.
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Historians Campbell and Alpers argue that there were a host of different categories of labor in Southeast Africa and that the distinction between slave and free individuals was not particularly relevant in most societies.[72] However, with increasing international trade in the 18th and 19th century, Southeast Africa began to be involved significantly in the Atlantic slave trade; for example, with the king of Kilwa island signing a treaty with a French merchant in 1776 for the delivery of 1,000 slaves per year.[73]
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At about the same time, merchants from Oman, India, and Southeast Africa began establishing plantations along the coasts and on the islands,[74] To provide workers on these plantations, slave raiding and slave holding became increasingly important in the region and slave traders (most notably Tippu Tip) became prominent in the political environment of the region.[73] The Southeast African trade reached its height in the early decades of the 1800s with up to 30,000 slaves sold per year. However, slavery never became a significant part of the domestic economies except in Sultanate of Zanzibar where plantations and agricultural slavery were maintained.[66] Author and historian Timothy Insoll wrote: "Figures record the exporting of 718,000 slaves from the Swahili coast during the 19th century, and the retention of 769,000 on the coast."[75] At various times, between 65 and 90 percent of Zanzibar was enslaved. Along the Kenya coast, 90 percent of the population was enslaved, while half of Madagascar's population was enslaved.[76]
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Slave relationships in Africa have been transformed through three large-scale processes: the Arab slave trade, the Atlantic slave trade, and the slave emancipation policies and movements in the 19th and 20th centuries. Each of these processes significantly changed the forms, level, and economics of slavery in Africa.[1]
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Slave practices in Africa were used during different periods to justify specific forms of European engagement with the peoples of Africa. Eighteenth century writers in Europe claimed that slavery in Africa was quite brutal in order to justify the Atlantic slave trade. Later writers used similar arguments to justify intervention and eventual colonization by European powers to end slavery in Africa.[77]
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Africans knew of the harsh slavery that awaited slaves in the New World. Many elite Africans visited Europe on slave ships following the prevailing winds through the New World. One example of this occurred when Antonio Manuel, Kongo’s ambassador to the Vatican, went to Europe in 1604, stopping first in Bahia, Brazil, where he arranged to free a countryman who had been wrongfully enslaved. African monarchs also sent their children along these same slave routes to be educated in Europe, and thousands of former slaves eventually returned to settle Liberia and Sierra Leone.[19]
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The enslavement of Africans for eastern markets started before 7th century but remained at low levels until 1750.[78] The trade volume peaked around 1850 but would largely have ended around 1900.[78] Arab slave trade starting in the eighth and ninth centuries AD, began with small-scale movement of people largely from the eastern Great Lakes region and the Sahel. Islamic law allowed slavery, but prohibited slavery involving other pre-existing Muslims; as a result, the main target for slavery were the people who lived in the frontier areas of Islam in Africa.[8] The trade of slaves across the Sahara and across the Indian Ocean also has a long history beginning with the control of sea routes by Afro-Arab traders in the ninth century. It is estimated that, at that time, a few thousand enslaved people were taken each year from the Red Sea and Indian Ocean coast. They were sold throughout the Middle East. This trade accelerated as superior ships led to more trade and greater demand for labour on plantations in the region. Eventually, tens of thousands per year were being taken.[79] On the Swahili Coast, the Afro-Arab slavers captured Bantu peoples from the interior and brought them to the littoral.[80][81] There, the slaves gradually assimilated in the rural areas, particularly on the Unguja and Pemba islands.[80]
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This changed the slave relationships by creating new forms of employment by slaves (as eunuchs to guard harems, and in military units) and creating conditions for freedom (namely conversion—although it would only free a slave's children).[1][13] Although the level of the trade remained relatively small, the size of total slaves traded grew to a large number over the multiple centuries of its existence.[1] Because of its small and gradual nature, the impact on slavery practices in communities that did not convert to Islam was relatively small.[1] However, in the 1800s, the slave trade from Africa to the Islamic countries picked up significantly. When the European slave trade ended around the 1850s, the slave trade to the east picked up significantly only to be ended with European colonization of Africa around 1900.[66] Between 1500 and 1900, up to 17 million Africans slaves were transported by Muslim traders to the coast of the Indian Ocean, the Middle East, and North Africa.[82]
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In 1814, Swiss explorer Johann Burckhardt wrote of his travels in Egypt and Nubia, where he saw the practice of slave trading: "I frequently witnessed scenes of the most shameless indecency, which the traders, who were the principal actors, only laughed at. I may venture to state, that very few female slaves who have passed their tenth year, reach Egypt or Arabia in a state of virginity."[83]
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David Livingstone while talking about the slave trade in East Africa in his journals:
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To overdraw its evil is a simple impossibility.[84]:442
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Livingstone wrote about a group of slaves forced to march by Arab slave traders in the African Great Lakes region when he was travelling there in 1866:
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19th June 1866 - We passed a woman tied by the neck to a tree and dead, the people of the country explained that she had bene unable to keep up with the other slaves in a gang, and her master had determined that she should not become anyone's property if she recovered.[84]:5626th June 1866 - ... We passed a slave woman shot or stabbed through the body and lying on the path: a group of mon stood about a hundred yards off on one side, and another of the women on the other side, looking on; they said an Arab who passed early that morning had done it in anger at losing the price he had given for her, because she was unable to walk any longer.
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27th June 1866 - To-day we came upon a man dead from starvation, as he was very thin. One of our men wandered and found many slaves with slave-sticks on, abandoned by their masters from want of food; they were too weak to be able to speak or say where they had come from; some were quite young.[84]:62
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Zanzibar was once East Africa's main slave-trading port, and under Omani Arabs in the 19th century as many as 50,000 slaves were passing through the city each year.[85]
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The Atlantic slave trade or transatlantic slave trade took place across the Atlantic Ocean from the 15th through to the 19th centuries. According to Patrick Manning, the Atlantic slave trade was significant in transforming Africans from a minority of the global population of slaves in 1600 into the overwhelming majority by 1800 and by 1850 the number of African slaves within Africa exceeded those in the Americas.[86]
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The slave trade was transformed from a marginal aspect of the economies into the largest sector in a relatively short span. In addition, agricultural plantations increased significantly and became a key aspect in many societies.[1] Economic urban centers that served as the root of main trade routes shifted towards the West coast.[87] At the same time, many African communities relocated far away from slave trade routes, often protecting themselves from the Atlantic slave trade but hindering economic and technological development at the same time.[88]
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In many African societies traditional lineage slavery became more like chattel slavery due to an increased work demand.[89] This resulted in a general decrease in quality of life, working conditions, and status of slaves in West African societies. Assimilative slavery was increasingly replaced with chattel slavery. Assimilitave slavery in Africa often allowed eventual freedom and also significant cultural, social, and/or economic influence. Slaves were often treated as part of their owner's family, rather than simply property.[89]
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The distribution of gender among enslaved peoples under traditional lineage slavery saw women as more desirable slaves due to demands for domestic labor and for reproductive reasons.[89] Male slaves were used for more physical agricultural labor,[90] but as more enslaved men were taken to the West Coast and across the Atlantic to the New World, female slaves were increasingly used for physical and agricultural labour and polygyny also increased. Chattel slavery in America was highly demanding because of the physical nature of plantation work and this was the most common destination for male slaves in the New World.[89]
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It has been argued that a decrease in able-bodied people as a result of the Atlantic slave trade limited many societies ability to cultivate land and develop. Many scholars argue that the transatlantic slave trade, left Africa underdeveloped, demographically unbalanced, and vulnerable to future European colonization.[88]
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The first Europeans to arrive on the coast of Guinea were the Portuguese; the first European to actually buy enslaved Africans in the region of Guinea was Antão Gonçalves, a Portuguese explorer in 1441 AD. Originally interested in trading mainly for gold and spices, they set up colonies on the uninhabited islands of São Tomé. In the 16th century the Portuguese settlers found that these volcanic islands were ideal for growing sugar. Sugar growing is a labour-intensive undertaking and Portuguese settlers were difficult to attract due to the heat, lack of infrastructure, and hard life. To cultivate the sugar the Portuguese turned to large numbers of enslaved Africans. Elmina Castle on the Gold Coast, originally built by African labour for the Portuguese in 1482 to control the gold trade, became an important depot for slaves that were to be transported to the New World.[91]
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The Spanish were the first Europeans to use enslaved Africans in America on islands such as Cuba and Hispaniola,[92] where the alarming death rate in the native population had spurred the first royal laws protecting the native population (Laws of Burgos, 1512–13). The first enslaved Africans arrived in Hispaniola in 1501 soon after the Papal Bull of 1493 gave almost all of the New World to Spain.[93]
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In Igboland, for example, the Aro oracle (the Igbo religious authority) began condemning more people to slavery due to small infractions that previously probably wouldn't have been punishable by slavery, thus increasing the number of enslaved men available for purchase.[89]
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The Atlantic slave trade peaked in the late 18th century, when the largest number of people were bought or captured from West Africa and taken to the Americas.[94] The increase of demand for slaves due to the expansion of European colonial powers to the New World made the slave trade much more lucrative to the West African powers, leading to the establishment of a number of actual West African empires thriving on slave trade.
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These included the Oyo empire (Yoruba), Kong Empire, Imamate of Futa Jallon, Imamate of Futa Toro, Kingdom of Koya, Kingdom of Khasso, Kingdom of Kaabu, Fante Confederacy, Ashanti Confederacy, and the kingdom of Dahomey. These kingdoms relied on a militaristic culture of constant warfare to generate the great numbers of human captives required for trade with the Europeans.[95] It is documented in the Slave Trade Debates of England in the early 19th century: "All the old writers concur in stating not only that wars are entered into for the sole purpose of making slaves, but that they are fomented by Europeans, with a view to that object."[96] The gradual abolition of slavery in European colonial empires during the 19th century again led to the decline and collapse of these African empires. When European powers began to stop the Atlantic slave trade, this caused a further change in that large holders of slaves in Africa began to exploit enslaved people on plantations and other agricultural products.[97]
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The final major transformation of slave relationships came with the inconsistent emancipation efforts starting in the mid-19th century. As European authorities began to take over large parts of inland Africa starting in the 1870s, the colonial policies were often confusing on the issue. For example, even when slavery was deemed illegal, colonial authorities would return escaped slaves to their masters.[1] Slavery persisted in some countries under colonial rule, and in some instances it was not until independence that slavery practices were significantly transformed.[98] Anti-colonial struggles in Africa often brought slaves and former slaves together with masters and former masters to fight for independence; however, this cooperation was short-lived and following independence political parties would often form based upon the stratifications of slaves and masters.[66]
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In some parts of Africa, slavery and slavery-like practices continue to this day, particularly the illegal trafficking of women and children.[99] The problem has proven to be difficult for governments and civil society to eliminate.[100]
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Efforts by Europeans against slavery and the slave trade began in the late 18th century and had a large impact on slavery in Africa. Portugal was the first country in the continent to abolish slavery in metropolitan Portugal and Portuguese India by a bill issued on 12 February 1761, but this did not affect their colonies of Brazil and Portuguese Africa. France abolished slavery in 1794. However, slavery was again allowed by Napoleon in 1802 and not abolished for good until 1848. In 1803, Denmark-Norway became the first country from Europe to implement a ban on the slave trade. Slavery itself was not banned until 1848.[101] Britain followed in 1807 with the passage of the Abolition of the Slave Trade Act by Parliament. This law allowed stiff fines, increasing with the number of slaves transported, for captains of slave ships. Britain followed this with the Slavery Abolition Act 1833 which freed all slaves in the British Empire. British pressure on other countries resulted in them agreeing to end the slave trade from Africa. For example, the 1820 U.S. Law on Slave Trade made slave trading piracy, punishable by death.[102] In addition, the Ottoman Empire abolished slave trade from Africa in 1847 under British pressure.[103]
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By 1850, the year that the last major Atlantic slave trade participant (Brazil) passed the Eusébio de Queirós Law banning the slave trade,[104] the slave trades had been significantly slowed and in general only illegal trade went on. Brazil continued the practice of slavery and was a major source for illegal trade until about 1870 and the abolition of slavery became permanent in 1888 when Princess Isabel of Brazil and Minister Rodrigo Silva (son-in-law of senator Eusebio de Queiroz) banned the practice.[66] The British took an active approach to stopping the illegal Atlantic slave trade during this period. The West Africa Squadron was credited with capturing 1,600 slave ships between 1808 and 1860, and freeing 150,000 Africans who were aboard these ships.[105] 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.
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According to Patrick Manning, internal slavery was most important to Africa in the second half of the 19th century, stating "if there is any time when one can speak of African societies being organized around a slave mode production, [1850–1900] was it". The abolition of the Atlantic slave trade resulted in the economies of African states dependent on the trade being reorganized towards domestic plantation slavery and legitimate commerce worked by slave labor. Slavery before this period was generally domestic.[66][3]
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The continuing anti-slavery movement in Europe became an excuse and a casus belli for the European conquest and colonization of much of the African continent.[77] It was the central theme of the Brussels Anti-Slavery Conference 1889-90. In the late 19th century, the Scramble for Africa saw the continent rapidly divided between imperialistic European powers, and an early but secondary focus of all colonial regimes was the suppression of slavery and the slave trade. Seymour Drescher argues that European interests in abolition were primarily motivated by economic and imperial goals.[106] Despite slavery often being a justification behind conquest, colonial regimes often ignored slavery or allowed slavery practices to continue. This was because the colonial state depended on the cooperation of indigenous political and economic structures which were heavily involved in slavery. As a result, early colonial policies usually sought to end slave trading while regulating existing slave practices and weakening the power of slave maaters.[61] Furthermore the early colonial states had weak effective control over their territories, which precluded efforts to widespread abolition. Abolition attempts became more concrete later during the colonial period.[61]
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There were many causes for the decline and abolition of slavery in Africa during the colonial period including colonial abolition policies, various economic changes, and slave resistance. The economic changes during the colonial period, including the rise of wage labor and cash crops, hastened the decline of slavery by offering new economic opportunities to slaves. The abolition of slave raiding and the end of wars between African states drastically reduced the supply of slaves. Slaves would take advantage of early colonial laws that nominally abolished slavery and would migrate away from their masters although these laws often were intended to regulate slavery more than actually abolish it. This migration led to more concrete abolition efforts by colonial governments.[61][107][1][61]
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Following conquest and abolition by the French, over a million slaves in French West Africa fled from their masters to earlier homes between 1906 and 1911.[108] In Madagascar over 500,000 slaves were freed following French abolition in 1896.[109] In response to this pressure, Ethiopia officially abolished slavery in 1932, Sokoto Caliphate abolished slavery in 1900, and the rest of the Sahel in 1911. Colonial nations were mostly successful in this aim, though slavery is still very active in Africa even though it has gradually moved to a wage economy. Independent nations attempting to westernize or impress Europe sometimes cultivated an image of slavery suppression, even as they, in the case of Egypt, hired European soldiers like Samuel White Baker's expedition up the Nile. Slavery has never been eradicated in Africa, and it commonly appears in African states, such as Chad, Ethiopia, Mali, Niger, and Sudan, in places where law and order have collapsed.[110]
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Although outlawed in all countries today, slavery is practiced in secret in many parts of the world.[111] There are an estimated 30 million victims of slavery worldwide.[112] In Mauritania alone, up to 600,000 men, women and children, or 20% of the population, are enslaved, many of them used as bonded labour.[113][114] Slavery in Mauritania was finally criminalized in August 2007.[115] During the Second Sudanese Civil War people were taken into slavery; estimates of abductions range from 14,000 to 200,000.[116] In Niger, where the practice of slavery was outlawed in 2003, a study found that almost 8% of the population are still slaves.[117][118]
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Slavery and the slave trades had a significant impact on the size of the population and the gender distribution throughout much of Africa. The precise impact of these demographic shifts has been an issue of significant debate.[119] The Atlantic slave trade took 70,000 people, primarily from the west coast of Africa, per year at its peak in the mid-1700s.[66] The Arab slave trade involved the capture of peoples from the continental interior, who were then shipped overseas through ports on the Red Sea and elsewhere.[120] It peaked at 10,000 people bartered per year in the 1600s.[66] According to Patrick Manning, there was a consistent population decrease in large parts of Sub-Saharan Africa as a result of these slave trades. This population decline throughout West Africa from 1650 until 1850 was exacerbated by the preference of slave traders for male slaves. It is important to note that this preference only existed in the transatlantic slave trade. More female slaves than male were traded across the continent of Africa.[46][66] In eastern Africa, the slave trade was multi-directional and changed over time. To meet the demand for menial labor, Zanj slaves captured from the southern interior were sold through ports on the northern seaboard in cumulatively large numbers over the centuries to customers in the Nile Valley, Horn of Africa, Arabian Peninsula, Persian Gulf, India, Far East and the Indian Ocean islands.[120]
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The extent of slavery within Africa and the trade in slaves to other regions is not known precisely. Although the Atlantic slave trade has been best studied, estimates range from 8 million people to 20 million.[121] The Trans-Atlantic Slave Trade Database estimates that the Atlantic slave trade took around 12.8 million people between 1450 and 1900.[1][122] The slave trade across the Sahara and Red Sea from the Sahara, the Horn of Africa, and East Africa, has been estimated at 6.2 million people between 600 and 1600.[1] Although the rate decreased from East Africa in the 1700s, it increased in the 1800s and is estimated at 1.65 million for that century.[1]
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Estimates by Patrick Manning are that about 12 million slaves entered the Atlantic trade between the 16th and 19th century, but about 1.5 million died on board ship.[123] About 10.5 million slaves arrived in the Americas.[123] Besides the slaves who died on the Middle Passage, more Africans likely died during the slave raids in Africa and forced marches to ports. Manning estimates that 4 million died inside Africa after capture, and many more died young.[123] Manning's estimate covers the 12 million who were originally destined for the Atlantic, as well as the 6 million destined for Asian slave markets and the 8 million destined for African markets.[123]
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The demographic effects of the slave trade are some of the most controversial and debated issues. Walter Rodney argued that the export of so many people had been a demographic disaster and had left Africa permanently disadvantaged when compared to other parts of the world, and that this largely explains that continent's continued poverty.[124] He presents numbers that show that Africa's population stagnated during this period, while that of Europe and Asia grew dramatically. According to Rodney all other areas of the economy were disrupted by the slave trade as the top merchants abandoned traditional industries to pursue slaving and the lower levels of the population were disrupted by the slaving itself.
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Others have challenged this view. J. D. Fage compared the number effect on the continent as a whole. David Eltis has compared the numbers to the rate of emigration from Europe during this period. In the 19th century alone over 50 million people left Europe for the Americas, a far higher rate than were ever taken from Africa.[125]
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Others in turn challenged that view. Joseph E. Inikori argues the history of the region shows that the effects were still quite deleterious. He argues that the African economic model of the period was very different from the European, and could not sustain such population losses. Population reductions in certain areas also led to widespread problems. Inikori also notes that after the suppression of the slave trade Africa's population almost immediately began to rapidly increase, even prior to the introduction of modern medicines.[126]
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There is a longstanding debate among analysts and scholars about the destructive impacts of the slave trades.[20] It is often claimed that the slave trade undermined local economies and political stability as villages' vital labour forces were shipped overseas as slave raids and civil wars became commonplace. With the rise of a large commercial slave trade, driven by European needs, enslaving your enemy became less a consequence of war, and more and more a reason to go to war.[127] The slave trade was claimed to have impeded the formation of larger ethnic groups, causing ethnic factionalism and weakening the formation for stable political structures in many places. It also is claimed to have reduced the mental health and social development of African people.[128]
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In contrast to these arguments, J. D. Fage asserts that slavery did not have a wholly disastrous effect on the societies of Africa.[129] Slaves were an expensive commodity, and traders received a great deal in exchange for each enslaved person. At the peak of the slave trade hundreds of thousands of muskets, vast quantities of cloth, gunpowder, and metals were being shipped to Guinea. Most of this money was spent on British-made firearms (of very poor quality) and industrial-grade alcohol. Trade with Europe at the peak of the slave trade—which also included significant exports of gold and ivory—was some 3.5 million pounds Sterling per year. By contrast, the trade of the United Kingdom, the economic superpower of the time, was about 14 million pounds per year over this same period of the late 18th century. As Patrick Manning has pointed out, the vast majority of items traded for slaves were common rather than luxury goods. Textiles, iron ore, currency, and salt were some of the most important commodities imported as a result of the slave trade, and these goods were spread within the entire society raising the general standard of living.[20]
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Although debated, it is argued that the Atlantic slave trade devastated the African economy. In 19th century Yoruba Land, economic activity was described to be at its lowest ever while life and property were being taken daily, and normal living was in jeopardy because of the fear of being kidnapped.[130] (Onwumah, Imhonopi, Adetunde,2019)
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Karl Marx in his economic history of capitalism, [Das Kapital], claimed that "...the turning of Africa into a warren for the commercial hunting of black-skins [that is, the slave trade], signalled the rosy dawn of the era of capitalist production." He argued that the slave trade was part of what he termed the "primitive accumulation" of European capital, the non-capitalist accumulation of wealth that preceded and created the financial conditions for Britain's industrialisation and the advent of the capitalist mode of production.[131]
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Eric Williams has written about the contribution of Africans on the basis of profits from the slave trade and slavery, arguing that the employment of those profits were used to help finance Britain’s industrialisation. He argues that the enslavement of Africans was an essential element to the Industrial Revolution, and that European wealth was, in part, a result of slavery, but that by the time of its abolition it had lost its profitability and it was in Britain's economic interest to ban it.[132] Joseph Inikori has written that the British slave trade was more profitable than the critics of Williams believe. Other researchers and historians have strongly contested what has come to be referred to as the "Williams thesis" in academia: David Richardson has concluded that the profits from the slave trade amounted to less than 1% of domestic investment in Britain,[133] and economic historian Stanley Engerman finds that even without subtracting the associated costs of the slave trade (e.g., shipping costs, slave mortality, mortality of whites in Africa, defense costs) or reinvestment of profits back into the slave trade, the total profits from the slave trade and of West Indian plantations amounted to less than 5% of the British economy during any year of the Industrial Revolution.[134] Historian Richard Pares, in an article written before Williams’ book, dismisses the influence of wealth generated from the West Indian plantations upon the financing of the Industrial Revolution, stating that whatever substantial flow of investment from West Indian profits into industry there was occurred after emancipation, not before.[135] Findlay and O'Rourke noted that the figures presented by O'Brien (1982) to back his claim that "the periphery was peripheral" suggest the opposite, with profits from the periphery 1784–1786 being £5.66 million when there was £10.30 million total gross investment in the British economy and similar proportions for 1824–1826. They note that dismissing the profits of the enslavement of human beings from significance because it was a "small share of national income", could be used to argue that there was no industrial revolution, since modern industry provided only a small share of national income and that it is a mistake to assume that small size is the same as small significance. Findlay and O'Rourke also note that the share of American export commodities produced by enslaved human beings, rose from 54% between 1501 and 1550 to 82.5% between 1761–1780.[136]
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Seymour Drescher and Robert Anstey argue the slave trade remained profitable until the end, because of innovations in agriculture, and that moralistic reform, not economic incentive, was primarily responsible for abolition.[137]
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A similar debate has taken place about other European nations. The French slave trade, it is argued, was more profitable than alternative domestic investments, and probably encouraged capital accumulation before the Industrial Revolution and Napoleonic Wars.[138]
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Maulana Karenga states the effects of the Atlantic slave trade in African captives: "[T]he morally monstrous destruction of human possibility involved redefining African humanity to the world, poisoning past, present and future relations with others who only know us through this stereotyping and thus damaging the truly human relations among people of today". He says that it constituted the destruction of culture, language, religion and human possibility.[139]
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Slavery has historically been widespread in Africa, and still continues today in some African countries.
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Systems of servitude and slavery were common in parts of Africa in ancient times, as they were in much of the rest of the ancient world. When the Arab slave trade (which started in the 7th century) and Atlantic slave trade (which started in the 16th century) began, many of the pre-existing local African slave systems began supplying captives for slave markets outside Africa.[1]
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Slavery in historical Africa was practiced in many different forms: Debt slavery, enslavement of war captives, military slavery, slavery for prostitution, and criminal slavery were all practiced in various parts of Africa.[2] Slavery for domestic and court purposes was widespread throughout Africa. Plantation slavery also occurred, primarily on the eastern coast of Africa and in parts of West Africa. The importance of domestic plantation slavery increased during the 19th century, due to the abolition of the Atlantic slave trade. Many African states dependent on the international slave trade reoriented their economies towards legitimate commerce worked by slave labor.[3]
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Multiple forms of slavery and servitude have existed throughout African history, and were shaped by indigenous practices of slavery as well as the Roman institution of slavery[citation needed] (and the later Christian views on slavery), the Islamic institutions of slavery via the Arab slave trade, and eventually the Atlantic slave trade.[1]
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Slavery was a part of the economic structure of African societies for many centuries, although the extent varied.[1]
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Ibn Battuta, who visited the ancient kingdom of Mali in the mid-14th century, recounts that the local inhabitants vied with each other in the number of slaves and servants they had, and was himself given a slave boy as a "hospitality gift."[4] In sub-Saharan Africa, the slave relationships were often complex, with rights and freedoms given to individuals held in slavery and restrictions on sale and treatment by their masters.[5] Many communities had hierarchies between different types of slaves: for example, differentiating between those who had been born into slavery and those who had been captured through war.[6]
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Travels in the Interior of Africa, Mungo Park, Travels in the Interior of Africa v. II, Chapter XXII – War and Slavery.
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The forms of slavery in Africa were closely related to kinship structures. In many African communities, where land could not be owned, enslavement of individuals was used as a means to increase the influence a person had and expand connections.[7] This made slaves a permanent part of a master's lineage, and the children of slaves could become closely connected with the larger family ties.[1] Children of slaves born into families could be integrated into the master's kinship group and rise to prominent positions within society, even to the level of chief in some instances.[6] However, stigma often remained attached, and there could be strict separations between slave members of a kinship group and those related to the master.[7]
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Chattel slavery is a specific servitude relationship where the slave is treated as the property of the owner. As such, the owner is free to sell, trade, or treat the slave as he would other pieces of property, and the children of the slave often are retained as the property of the master.[8] There is evidence of long histories of chattel slavery in the Nile River valley and North Africa, but evidence is incomplete about the extent and practices of chattel slavery throughout much of the rest of the continent prior to written records by Arab or European traders.[8][9]
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Many slave relationships in Africa revolved around domestic slavery, where slaves would work primarily in the house of the master, but retain some freedoms. Domestic slaves could be considered part of the master's household and would not be sold to others without extreme cause. The slaves could own the profits from their labour (whether in land or in products), and could marry and pass the land on to their children in many cases.[6][10]
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Pawnship, or debt bondage slavery, involves the use of people as collateral to secure the repayment of debt. Slave labor is performed by the debtor, or a relative of the debtor (usually a child). Pawnship was a common form of collateral in West Africa. It involved the pledge of a person or a member of that person's family, to serve another person providing credit. Pawnship was related to, yet distinct from, slavery in most conceptualizations, because the arrangement could include limited, specific terms of service to be provided, and because kinship ties would protect the person from being sold into slavery. Pawnship was a common practice throughout West Africa prior to European contact, including among the Akan people, the Ewe people, the Ga people, the Yoruba people, and the Edo people (in modified forms, it also existed among the Efik people, the Igbo people, the Ijaw people, and the Fon people).[11][12]
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Military slavery involved the acquisition and training of conscripted military units which would retain the identity of military slaves even after their service.[13] Slave soldier groups would be run by a Patron, who could be the head of a government or an independent warlord, and who would send his troops out for money and his own political interests.[13]
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This was most significant in the Nile valley (primarily in Sudan and Uganda), with slave military units organized by various Islamic authorities,[13] and with the war chiefs of Western Africa.[14] The military units in Sudan were formed in the 1800s through large-scale military raiding in the area which is currently the countries of Sudan and South Sudan.[13]
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Moreover, a considerable number of the men born between 1800 and 1849 in West African regions (today Ghana and Burkina Faso) and abducted as slaves to serve in the army in Dutch Indonesia. Interestingly, soldiers were on average 3 cm taller than other West African population. Furthermore, data showed, West Africans were shorter than North Europeans but of almost equal height to South Europeans. This was mainly related to the quality of the nutrition and healthcare.[15]
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Human sacrifice was common in West African states up to and during the 19th century. Although archaeological evidence is not clear on the issue prior to European contact, in those societies that practiced human sacrifice, slaves became the most prominent victims.[1]
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The Annual Customs of Dahomey were the most notorious example of the human sacrifice of slaves, where 500 prisoners would be sacrificed. Sacrifices were carried out all along the West African coast and further inland. Sacrifices were common in the Benin Empire, in what is now Ghana, and in the small independent states in what is now southern Nigeria. In the Ashanti Region, human sacrifice was often combined with capital punishment.[16][17][18]
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Many nations such as the Ashanti of present-day Ghana and the Yoruba of present-day Nigeria were involved in slave-trading. Groups such as the Imbangala of Angola and the Nyamwezi of Tanzania would serve as intermediaries or roving bands, waging war on African states to capture people for export as slaves. Historians John Thornton and Linda Heywood of Boston University have estimated that of the Africans captured and then sold as slaves to the New World in the Atlantic slave trade, around 90% were enslaved by fellow Africans who sold them to European traders.[19] Henry Louis Gates, the Harvard Chair of African and African American Studies, has stated that "without complex business partnerships between African elites and European traders and commercial agents, the slave trade to the New World would have been impossible, at least on the scale it occurred."[19]
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The entire Bubi ethnic group descends from escaped intertribal slaves owned by various ancient West-central African ethnic groups.[citation needed]
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Like most other regions of the world, slavery and forced labor existed in many kingdoms and societies of Africa for hundreds of years.[20][5] According to Ugo Kwokeji, early European reports of slavery throughout Africa in the 1600s are unreliable because they often conflated various forms of servitude as equal to chattel slavery.[21]
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The best evidence of slave practices in Africa come from the major kingdoms, particularly along the coast, and there is little evidence of widespread slavery practices in stateless societies.[1][5][6] Slave trading was mostly secondary to other trade relationships; however, there is evidence of a trans-Saharan slave trade route from Roman times which persisted in the area after the fall of the Roman Empire.[8] However, kinship structures and rights provided to slaves (except those captured in war) appears to have limited the scope of slave trading before the start of the Arab slave trade and the Atlantic slave trade.[5]
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Slavery in northern Africa dates back to ancient Egypt. The New Kingdom (1558–1080 BC) brought in large numbers of slaves as prisoners of war up the Nile valley and used then for domestic and supervised labor.[23] Ptolemaic Egypt (305 BC–30 BC) used both land and sea routes to bring slaves in.[24]
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Chattel slavery had been legal and widespread throughout North Africa when the region was controlled by the Roman Empire (145 BC – ca. 430 AD), and by the Eastern Romans from 533 to 695). A slave trade bringing Saharans through the desert to North Africa, which existed in Roman times, continued and documentary evidence in the Nile Valley shows it to have been regulated there by treaty.[8] As the Roman republic expanded, it enslaved defeated enemies and Roman conquests in Africa were no exception. For example, Orosius records that Rome enslaved 27,000 people from North Africa in 256 BC.[25] Piracy became an important source of slaves for the Roman Empire and in the 5th century AD pirates would raid coastal North African villages and enslave the captured.[26] Chattel slavery persisted after the fall of the Roman Empire in the largely Christian communities of the region. After the Islamic expansion into most of the region because of the trade expansion across the Sahara,[27] the practices continued and eventually, the assimilative form of slavery spread to major societies on the southern end of the Sahara (such as Mali, Songhai, and Ghana).[1]
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The medieval slave trade in Europe was mainly to the East and South: the Christian Byzantine Empire and the Muslim World were the destinations, Central and Eastern Europe an important source of slaves.[28] Slavery in medieval Europe was so widespread that the Roman Catholic Church repeatedly prohibited it—or at least the export of Christian slaves to non-Christian lands was prohibited at, for example, the Council of Koblenz in 922, the Council of London in 1102, and the Council of Armagh in 1171. Because of religious constraints, the slave trade was carried out in parts of Europe by Iberian Jews (known as Radhanites) who were able to transfer slaves from pagan Central Europe through Christian Western Europe to Muslim countries in Al-Andalus and Africa.[29]
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The Mamluks were slave soldiers who converted to Islam and served the Muslim caliphs and the Ayyubid Sultans during the Middle Ages. The first Mamluks served the Abbasid caliphs in 9th century Baghdad. Over time, they became a powerful military caste, and on more than one occasion they seized power for themselves, for example, ruling Egypt from 1250–1517. From 1250 Egypt had been ruled by the Bahri dynasty of Kipchak Turk origin. White enslaved people from the Caucasus served in the army and formed an elite corps of troops, eventually revolting in Egypt to form the Burgi dynasty.[30]
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According to Robert Davis between 1 million and 1.25 million Europeans were captured by Barbary pirates and sold as slaves to North Africa and the Ottoman Empire between the 16th and 19th centuries.[31][32] However, to extrapolate his numbers, Davis assumes the number of European slaves captured by Barbary pirates were constant for a 250-year period, stating:
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"There are no records of how many men, women and children were enslaved, but it is possible to calculate roughly the number of fresh captives that would have been needed to keep populations steady and replace those slaves who died, escaped, were ransomed, or converted to Islam. On this basis, it is thought that around 8,500 new slaves were needed annually to replenish numbers - about 850,000 captives over the century from 1580 to 1680. By extension, for the 250 years between 1530 and 1780, the figure could easily have been as high as 1,250,000."[33]
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Davis' numbers have been disputed by other historians, such as David Earle, who cautions that the true picture of European slaves is clouded by the fact the corsairs also seized non-Christian whites from eastern Europe and black people from west Africa.[33]
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In addition, the number of slaves traded was hyperactive, with exaggerated estimates relying on peak years to calculate averages for entire centuries, or millennia. Hence, there were wide fluctuations year-to-year, particularly in the 18th and 19th centuries, given slave imports, and also given the fact that, prior to the 1840s, there are no consistent records. Middle East expert John Wright cautions that modern estimates are based on back-calculations from human observation.[34]
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Such observations, across the late 1500s and early 1600s observers, estimate that around 35,000 European Christian slaves held throughout this period on the Barbary Coast, across Tripoli, Tunis, but mostly in Algiers. The majority were sailors (particularly those who were English), taken with their ships, but others were fishermen and coastal villagers. However, most of these captives were people from lands close to Africa, particularly Spain and Italy.[35]
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The coastal villages and towns of Italy, Portugal, Spain, and Mediterranean islands were frequently attacked by the pirates, and long stretches of the Italian and Spanish coasts were almost completely abandoned by their inhabitants; after 1600 Barbary pirates occasionally entered the Atlantic and struck as far north as Iceland. The most famous corsairs were the Ottoman Barbarossa ("Redbeard"), and his older brother Oruç, Turgut Reis (known as Dragut in the West), Kurtoğlu (known as Curtogoli in the West), Kemal Reis, Salih Reis, and Koca Murat Reis.[32][36]
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In 1544, Hayreddin Barbarossa captured Ischia, taking 4,000 prisoners in the process, and deported to slavery some 9,000 inhabitants of Lipari, almost the entire population.[37] In 1551, Dragut enslaved the entire population of the Maltese island Gozo, between 5,000 and 6,000, sending them to Libya. When pirates sacked Vieste in southern Italy in 1554 they took an estimated 7,000 slaves. In 1555, Turgut Reis sailed to Corsica and ransacked Bastia, taking 6,000 prisoners. In 1558 Barbary corsairs captured the town of Ciutadella, destroyed it, slaughtered the inhabitants, and carried off 3,000 survivors to Istanbul as slaves.[38] In 1563 Turgut Reis landed at the shores of the province of Granada, Spain, and captured the coastal settlements in the area like Almuñécar, along with 4,000 prisoners. Barbary pirates frequently attacked the Balearic islands, resulting in many coastal watchtowers and fortified churches being erected. The threat was so severe that Formentera became uninhabited.[39][40]
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Early modern sources are full of descriptions of the sufferings of Christian galley slaves of the Barbary corsairs:
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Those who have not seen a galley at sea, especially in chasing or being chased, cannot well conceive the shock such a spectacle must give to a heart capable of the least tincture of commiseration. To behold ranks and files of half-naked, half-starved, half-tanned meagre wretches, chained to a plank, from whence they remove not for months together (commonly half a year), urged on, even beyond human strength, with cruel and repeated blows on their bare flesh...[41]
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As late as 1798, the islet near Sardinia was attacked by the Tunisians and over 900 inhabitants were taken away as slaves.
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Sahrawi-Moorish society in Northwest Africa was traditionally (and still is, to some extent) stratified into several tribal castes, with the Hassane warrior tribes ruling and extracting tribute – horma – from the subservient Berber-descended znaga tribes. Below them ranked servile groups known as Haratin, a black population.[42]
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Enslaved Sub-Saharan Africans were also transported across North Africa into Arabia to do agricultural work because of their resistance to malaria that plagued the Arabia and North Africa at the time of early enslavement. Sub-Saharan Africans were able to endure the malaria-infested lands they were transported to, which is why North Africans were not transported despite their close proximity to Arabia and its surrounding lands.[43]
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In the Horn of Africa, the Christian kings of the Ethiopian Empire often exported pagan Nilotic slaves from their western borderlands, or from newly conquered or reconquered lowland territories.[44] The Somali and Afar Muslim sultanates, such as the medieval Adal Sultanate, through their ports also traded Zanj (Bantu) slaves who were captured from the hinterland.[45]
|
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Slavery, as practiced in Ethiopia, was essentially domestic and was geared more towards women; this was the trend for most of Africa as well. Women were transported across the Sahara, the Middle East, and the Mediterranean and the Indian Ocean trade more than men.[46] Enslaved people served in the houses of their masters or mistresses, and were not employed to any significant extent for productive purpose. The enslaved were regarded as second-class members of their owners' family.[47] The first attempt to abolish slavery in Ethiopia was made by Emperor Tewodros II (r. 1855–68),[48] although the slave trade was not abolished legally until 1923 with Ethiopia's ascension to the League of Nations.[49] Anti-Slavery Society estimated there were 2 million slaves in the early 1930s, out of an estimated population of between 8 and 16 million.[50] Slavery continued in Ethiopia until the Italian invasion in October 1935, when the institution was abolished by order of the Italian occupying forces.[51] In response to pressure by Western Allies of World War II, Ethiopia officially abolished slavery and involuntary servitude after having regained its independence in 1942.[52][53] On 26 August 1942, Haile Selassie issued a proclamation outlawing slavery.[54]
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In Somali territories, slaves were purchased in the slave market exclusively to do work on plantation grounds.[55] In terms of legal considerations, the customs regarding the treatment of Bantu slaves were established by the decree of Sultans and local administrative legates[disambiguation needed]. Additionally, freedom for these plantation slaves was also often acquired through eventual emancipation, escape, and ransom.[55]
|
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Oral tradition recounts slavery existing in the Kingdom of Kongo from the time of its formation with Lukeni lua Nimi enslaving the Mwene Kabunga whom he conquered to establish the kingdom.[56] Early Portuguese writings show that the Kingdom did have slavery before contact, but that they were primarily war captives from the Kingdom of Ndongo.[56][57]
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Slavery was common along the Upper Congo River, and in the second half of the 18th century the region became a major source of slaves for the Atlantic Slave Trade, when high slave prices on the coast made long-distance slave trading profitable. When the Atlantic trade came to an end, the prices of slaves dropped dramatically, and the regional slave trade grew, dominated by Bobangi traders. The Bobangi also purchased a large number of slaves with profits from selling ivory, who they used to populate their villages. A distinction was made between two different types of slaves in this region; slaves who had been sold by their kin group, typically as a result of undesirable behavior such as adultery, were unlikely to attempt to flee. In addition to those considered socially undesirable, the sale of children was also common in times of famine. Slaves who were captured, however, were likely to attempt to escape and had to be moved hundreds of kilometers from their homes as a safeguard against this.[58]
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The slave trade had a profound impact on this region of Central Africa, completely reshaping various aspects of society. For instance, the slave trade helped to create a robust regional trade network for the foodstuffs and crafted goods of small producers along the river. As the transport of only a few slaves in a canoe was sufficient to cover the cost of a trip and still make a profit, traders could fill any unused space on their canoes with other goods and transport them long distances without a significant markup on price. While the large profits from the Congo River slave trade only went to a small number of traders, this aspect of the trade provided some benefit to local producers and consumers.[59]
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Various forms of slavery were practiced in diverse ways in different communities of West Africa prior to European trade.[20] Even though slavery did exist, it was not nearly as prevalent within most West African societies that were not Islamic before the Trans-Atlantic Slave Trade.[60][61] The prerequisites for slave societies to exist weren't present in West Africa prior to the Atlantic slave trade considering the small market sizes and the lack of a division of labor.[60] Most West African societies were formed in Kinship units which would make slavery a rather marginal part of the production process within them.[1] Slaves within Kinship-based societies would have had almost the same roles that free members had.[1] Martin Klein has said that before the Atlantic trade, slaves in Western Sudan “made up a small part of the population, lived within the household, worked alongside free members of the household, and participated in a network of face-to-face links.”[60] With the development of the trans-Saharan slave trade and the economies of gold in the western Sahel, a number of the major states became organized around the slave trade, including the Ghana Empire, the Mali Empire, and Songhai Empire.[62] However, other communities in West Africa largely resisted the slave trade. The Jola refused to participate in the slave trade up into the end of the seventeenth century, and didn't use slave labor within their own communities until the nineteenth century. The Kru and Baga also fought against the slave trade.[63] The Mossi Kingdoms tried to take over key sites in the trans-Saharan trade and, when these efforts failed, the Mossi became defenders against slave raiding by the powerful states of the western Sahel. The Mossi would eventually enter the slave trade in the 1800s with the Atlantic slave trade being the main market.[62]
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Senegal was a catalyst for slave trade, and from the Homann Heirs map figure shown, shows a starting point for migration and a firm port of trade. The culture of the Gold Coast was based largely on the power that individuals held, rather than the land cultivated by a family. Western Africa, and specifically places like Senegal, were able to arrive at the development of slavery through analyzing the aristocratic advantages of slavery and what would best suit the region. This sort of governing that used "political tool" of discerning the different labors and methods of assimilative slavery. The domestic and agricultural labor became more evidently primary in Western Africa due to slaves being regarded as these "political tools" of access and status. Slaves often had more wives than their owners, and this boosted the class of their owners. Slaves were not all used for the same purpose. European colonizing countries were participating in the trade to suit the economic needs of their countries. The parallel of "Moorish" traders found in the desert compared to the Portuguese traders that were not as established pointed out the differences in uses of slaves at this point, and where they were headed in the trade.
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Historian Walter Rodney identified no slavery or significant domestic servitude in early European accounts on the Upper Guinea region[6] and I. A. Akinjogbin contends that European accounts reveal that the slave trade was not a major activity along the coast controlled by the Yoruba people and Aja people before Europeans arrived.[64] In a paper read to the Ethnological Society of London in 1866, the viceroy of Lokoja Mr T. Valentine Robins, who in 1864 accompanied an expedition up the River Niger aboard HMS Investigator, described slavery in the region:
|
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Upon slavery Mr Robins remarked that it was not what people in England thought it to be. It means, as continually found in this part of Africa, belonging to a family group-there is no compulsory labour, the owner and the slave work together, eat like food, wear like clothing and sleep in the same huts. Some slaves have more wives than their masters. It gives protection to the slaves and everything necessary for their subsistence - food and clothing. A free man is worse off than a slave; he cannot claim his food from anyone.[65]
|
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With the beginning of the Atlantic slave trade, demand for slavery in West Africa increased and a number of states became centered on the slave trade and domestic slavery increased dramatically.[66] Hugh Clapperton in 1824 believed that half the population of Kano were enslaved people.[67]
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In the Senegambia region, between 1300 and 1900, close to one-third of the population was enslaved. In early Islamic states of the western Sahel, including Ghana (750–1076), Mali (1235–1645), Segou (1712–1861), and Songhai (1275–1591), about a third of the population were enslaved. In Sierra Leone in the 19th century about half of the population consisted of enslaved people. Among the Vai people, during the 19th century, three quarters of people were slaves. In the 19th century at least half the population was enslaved among the Duala of the Cameroon and other peoples of the lower Niger, the Kongo, and the Kasanje kingdom and Chokwe of Angola. Among the Ashanti and Yoruba a third of the population consisted of enslaved people. The population of the Kanem (1600–1800) was about one-third enslaved. It was perhaps 40% in Bornu (1580–1890). Between 1750 and 1900 from one- to two-thirds of the entire population of the Fulani jihad states consisted of enslaved people. The population of the Sokoto caliphate formed by Hausas in the northern Nigeria and Cameroon was half-enslaved in the 19th century. Slavery was widespread among Taureg peoples and lasted until at least 1975. Among the Adrar 15 percent of people were enslaved, and 75 percent of the Gurma were enslaved.[68]
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When British rule was first imposed on the Sokoto Caliphate and the surrounding areas in northern Nigeria at the turn of the 20th century, approximately 2 million to 2.5 million people there were enslaved.[69] Slavery in northern Nigeria was finally outlawed in 1936.[70]
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With sea trade from the eastern African Great Lakes region to Persia, China, and India during the first millennium AD, slaves are mentioned as a commodity of secondary importance to gold and ivory. When mentioned, the slave trade appears to be of a small-scale and mostly involves slave raiding of women and children along the islands of Kilwa Kisiwani, Madagascar, and Pemba. In places such as Uganda, the experience for women in slavery was different than that of customary slavery practices at the time. The roles assumed were based off gender and position within the society. First one must make the distinction in Ugandan slavery of peasants and slaves. Researchers Shane Doyle and Henri Médard assert the distinction with the following:
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"Peasants were rewarded for valour in battle by the present of slaves by the lord or chief for whom they had fought. They could be given slaves by relatives who had been promoted to the rank of chiefs, and they could inherit slaves from their fathers. There were the abanyage (those pillaged or stolen in war) as well as the abagule (those bought). All these came under the category of abenvumu or true slaves, that is to say people not free in any sense. In a superior position were the young Ganda given by their maternal uncles into slavery (or pawnship), usually in lieu of debts... Besides such slaves both chiefs and king were served by sons of well to do men who wanted to please them and attract favour for themselves or their children. These were the abasige and formed a big addition to a noble household.... All these different classes of dependents in a household were classed as Medard & Doyle abaddu (male servants) or abazana (female servants) whether they were slave or free-born.(175)"
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In the Great Lakes region of Africa (around present-day Uganda), linguistic evidence shows the existence of slavery through war capture, trade, and pawning going back hundreds of years; however, these forms, particularly pawning, appear to have increased significantly in the 18th and 19th centuries.[71] These slaves were considered to be more trustworthy than those from the Gold Coast. They were regarded with more prestige because of the training they responded to.
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The language for slaves in the Great Lakes region varied. This region of water made it easy for capture of slaves and transport. Captive, refugee, slave, peasant were all used in order to describe those in the trade. The distinction was made by where and for what purpose they would be utilized for. Methods like pillage, plunder, and capture were all semantics common in this region to depict the trade.
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Historians Campbell and Alpers argue that there were a host of different categories of labor in Southeast Africa and that the distinction between slave and free individuals was not particularly relevant in most societies.[72] However, with increasing international trade in the 18th and 19th century, Southeast Africa began to be involved significantly in the Atlantic slave trade; for example, with the king of Kilwa island signing a treaty with a French merchant in 1776 for the delivery of 1,000 slaves per year.[73]
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At about the same time, merchants from Oman, India, and Southeast Africa began establishing plantations along the coasts and on the islands,[74] To provide workers on these plantations, slave raiding and slave holding became increasingly important in the region and slave traders (most notably Tippu Tip) became prominent in the political environment of the region.[73] The Southeast African trade reached its height in the early decades of the 1800s with up to 30,000 slaves sold per year. However, slavery never became a significant part of the domestic economies except in Sultanate of Zanzibar where plantations and agricultural slavery were maintained.[66] Author and historian Timothy Insoll wrote: "Figures record the exporting of 718,000 slaves from the Swahili coast during the 19th century, and the retention of 769,000 on the coast."[75] At various times, between 65 and 90 percent of Zanzibar was enslaved. Along the Kenya coast, 90 percent of the population was enslaved, while half of Madagascar's population was enslaved.[76]
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Slave relationships in Africa have been transformed through three large-scale processes: the Arab slave trade, the Atlantic slave trade, and the slave emancipation policies and movements in the 19th and 20th centuries. Each of these processes significantly changed the forms, level, and economics of slavery in Africa.[1]
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Slave practices in Africa were used during different periods to justify specific forms of European engagement with the peoples of Africa. Eighteenth century writers in Europe claimed that slavery in Africa was quite brutal in order to justify the Atlantic slave trade. Later writers used similar arguments to justify intervention and eventual colonization by European powers to end slavery in Africa.[77]
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Africans knew of the harsh slavery that awaited slaves in the New World. Many elite Africans visited Europe on slave ships following the prevailing winds through the New World. One example of this occurred when Antonio Manuel, Kongo’s ambassador to the Vatican, went to Europe in 1604, stopping first in Bahia, Brazil, where he arranged to free a countryman who had been wrongfully enslaved. African monarchs also sent their children along these same slave routes to be educated in Europe, and thousands of former slaves eventually returned to settle Liberia and Sierra Leone.[19]
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The enslavement of Africans for eastern markets started before 7th century but remained at low levels until 1750.[78] The trade volume peaked around 1850 but would largely have ended around 1900.[78] Arab slave trade starting in the eighth and ninth centuries AD, began with small-scale movement of people largely from the eastern Great Lakes region and the Sahel. Islamic law allowed slavery, but prohibited slavery involving other pre-existing Muslims; as a result, the main target for slavery were the people who lived in the frontier areas of Islam in Africa.[8] The trade of slaves across the Sahara and across the Indian Ocean also has a long history beginning with the control of sea routes by Afro-Arab traders in the ninth century. It is estimated that, at that time, a few thousand enslaved people were taken each year from the Red Sea and Indian Ocean coast. They were sold throughout the Middle East. This trade accelerated as superior ships led to more trade and greater demand for labour on plantations in the region. Eventually, tens of thousands per year were being taken.[79] On the Swahili Coast, the Afro-Arab slavers captured Bantu peoples from the interior and brought them to the littoral.[80][81] There, the slaves gradually assimilated in the rural areas, particularly on the Unguja and Pemba islands.[80]
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This changed the slave relationships by creating new forms of employment by slaves (as eunuchs to guard harems, and in military units) and creating conditions for freedom (namely conversion—although it would only free a slave's children).[1][13] Although the level of the trade remained relatively small, the size of total slaves traded grew to a large number over the multiple centuries of its existence.[1] Because of its small and gradual nature, the impact on slavery practices in communities that did not convert to Islam was relatively small.[1] However, in the 1800s, the slave trade from Africa to the Islamic countries picked up significantly. When the European slave trade ended around the 1850s, the slave trade to the east picked up significantly only to be ended with European colonization of Africa around 1900.[66] Between 1500 and 1900, up to 17 million Africans slaves were transported by Muslim traders to the coast of the Indian Ocean, the Middle East, and North Africa.[82]
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In 1814, Swiss explorer Johann Burckhardt wrote of his travels in Egypt and Nubia, where he saw the practice of slave trading: "I frequently witnessed scenes of the most shameless indecency, which the traders, who were the principal actors, only laughed at. I may venture to state, that very few female slaves who have passed their tenth year, reach Egypt or Arabia in a state of virginity."[83]
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David Livingstone while talking about the slave trade in East Africa in his journals:
|
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To overdraw its evil is a simple impossibility.[84]:442
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Livingstone wrote about a group of slaves forced to march by Arab slave traders in the African Great Lakes region when he was travelling there in 1866:
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19th June 1866 - We passed a woman tied by the neck to a tree and dead, the people of the country explained that she had bene unable to keep up with the other slaves in a gang, and her master had determined that she should not become anyone's property if she recovered.[84]:5626th June 1866 - ... We passed a slave woman shot or stabbed through the body and lying on the path: a group of mon stood about a hundred yards off on one side, and another of the women on the other side, looking on; they said an Arab who passed early that morning had done it in anger at losing the price he had given for her, because she was unable to walk any longer.
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27th June 1866 - To-day we came upon a man dead from starvation, as he was very thin. One of our men wandered and found many slaves with slave-sticks on, abandoned by their masters from want of food; they were too weak to be able to speak or say where they had come from; some were quite young.[84]:62
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Zanzibar was once East Africa's main slave-trading port, and under Omani Arabs in the 19th century as many as 50,000 slaves were passing through the city each year.[85]
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The Atlantic slave trade or transatlantic slave trade took place across the Atlantic Ocean from the 15th through to the 19th centuries. According to Patrick Manning, the Atlantic slave trade was significant in transforming Africans from a minority of the global population of slaves in 1600 into the overwhelming majority by 1800 and by 1850 the number of African slaves within Africa exceeded those in the Americas.[86]
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The slave trade was transformed from a marginal aspect of the economies into the largest sector in a relatively short span. In addition, agricultural plantations increased significantly and became a key aspect in many societies.[1] Economic urban centers that served as the root of main trade routes shifted towards the West coast.[87] At the same time, many African communities relocated far away from slave trade routes, often protecting themselves from the Atlantic slave trade but hindering economic and technological development at the same time.[88]
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In many African societies traditional lineage slavery became more like chattel slavery due to an increased work demand.[89] This resulted in a general decrease in quality of life, working conditions, and status of slaves in West African societies. Assimilative slavery was increasingly replaced with chattel slavery. Assimilitave slavery in Africa often allowed eventual freedom and also significant cultural, social, and/or economic influence. Slaves were often treated as part of their owner's family, rather than simply property.[89]
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The distribution of gender among enslaved peoples under traditional lineage slavery saw women as more desirable slaves due to demands for domestic labor and for reproductive reasons.[89] Male slaves were used for more physical agricultural labor,[90] but as more enslaved men were taken to the West Coast and across the Atlantic to the New World, female slaves were increasingly used for physical and agricultural labour and polygyny also increased. Chattel slavery in America was highly demanding because of the physical nature of plantation work and this was the most common destination for male slaves in the New World.[89]
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It has been argued that a decrease in able-bodied people as a result of the Atlantic slave trade limited many societies ability to cultivate land and develop. Many scholars argue that the transatlantic slave trade, left Africa underdeveloped, demographically unbalanced, and vulnerable to future European colonization.[88]
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The first Europeans to arrive on the coast of Guinea were the Portuguese; the first European to actually buy enslaved Africans in the region of Guinea was Antão Gonçalves, a Portuguese explorer in 1441 AD. Originally interested in trading mainly for gold and spices, they set up colonies on the uninhabited islands of São Tomé. In the 16th century the Portuguese settlers found that these volcanic islands were ideal for growing sugar. Sugar growing is a labour-intensive undertaking and Portuguese settlers were difficult to attract due to the heat, lack of infrastructure, and hard life. To cultivate the sugar the Portuguese turned to large numbers of enslaved Africans. Elmina Castle on the Gold Coast, originally built by African labour for the Portuguese in 1482 to control the gold trade, became an important depot for slaves that were to be transported to the New World.[91]
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The Spanish were the first Europeans to use enslaved Africans in America on islands such as Cuba and Hispaniola,[92] where the alarming death rate in the native population had spurred the first royal laws protecting the native population (Laws of Burgos, 1512–13). The first enslaved Africans arrived in Hispaniola in 1501 soon after the Papal Bull of 1493 gave almost all of the New World to Spain.[93]
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In Igboland, for example, the Aro oracle (the Igbo religious authority) began condemning more people to slavery due to small infractions that previously probably wouldn't have been punishable by slavery, thus increasing the number of enslaved men available for purchase.[89]
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The Atlantic slave trade peaked in the late 18th century, when the largest number of people were bought or captured from West Africa and taken to the Americas.[94] The increase of demand for slaves due to the expansion of European colonial powers to the New World made the slave trade much more lucrative to the West African powers, leading to the establishment of a number of actual West African empires thriving on slave trade.
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These included the Oyo empire (Yoruba), Kong Empire, Imamate of Futa Jallon, Imamate of Futa Toro, Kingdom of Koya, Kingdom of Khasso, Kingdom of Kaabu, Fante Confederacy, Ashanti Confederacy, and the kingdom of Dahomey. These kingdoms relied on a militaristic culture of constant warfare to generate the great numbers of human captives required for trade with the Europeans.[95] It is documented in the Slave Trade Debates of England in the early 19th century: "All the old writers concur in stating not only that wars are entered into for the sole purpose of making slaves, but that they are fomented by Europeans, with a view to that object."[96] The gradual abolition of slavery in European colonial empires during the 19th century again led to the decline and collapse of these African empires. When European powers began to stop the Atlantic slave trade, this caused a further change in that large holders of slaves in Africa began to exploit enslaved people on plantations and other agricultural products.[97]
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The final major transformation of slave relationships came with the inconsistent emancipation efforts starting in the mid-19th century. As European authorities began to take over large parts of inland Africa starting in the 1870s, the colonial policies were often confusing on the issue. For example, even when slavery was deemed illegal, colonial authorities would return escaped slaves to their masters.[1] Slavery persisted in some countries under colonial rule, and in some instances it was not until independence that slavery practices were significantly transformed.[98] Anti-colonial struggles in Africa often brought slaves and former slaves together with masters and former masters to fight for independence; however, this cooperation was short-lived and following independence political parties would often form based upon the stratifications of slaves and masters.[66]
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In some parts of Africa, slavery and slavery-like practices continue to this day, particularly the illegal trafficking of women and children.[99] The problem has proven to be difficult for governments and civil society to eliminate.[100]
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Efforts by Europeans against slavery and the slave trade began in the late 18th century and had a large impact on slavery in Africa. Portugal was the first country in the continent to abolish slavery in metropolitan Portugal and Portuguese India by a bill issued on 12 February 1761, but this did not affect their colonies of Brazil and Portuguese Africa. France abolished slavery in 1794. However, slavery was again allowed by Napoleon in 1802 and not abolished for good until 1848. In 1803, Denmark-Norway became the first country from Europe to implement a ban on the slave trade. Slavery itself was not banned until 1848.[101] Britain followed in 1807 with the passage of the Abolition of the Slave Trade Act by Parliament. This law allowed stiff fines, increasing with the number of slaves transported, for captains of slave ships. Britain followed this with the Slavery Abolition Act 1833 which freed all slaves in the British Empire. British pressure on other countries resulted in them agreeing to end the slave trade from Africa. For example, the 1820 U.S. Law on Slave Trade made slave trading piracy, punishable by death.[102] In addition, the Ottoman Empire abolished slave trade from Africa in 1847 under British pressure.[103]
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By 1850, the year that the last major Atlantic slave trade participant (Brazil) passed the Eusébio de Queirós Law banning the slave trade,[104] the slave trades had been significantly slowed and in general only illegal trade went on. Brazil continued the practice of slavery and was a major source for illegal trade until about 1870 and the abolition of slavery became permanent in 1888 when Princess Isabel of Brazil and Minister Rodrigo Silva (son-in-law of senator Eusebio de Queiroz) banned the practice.[66] The British took an active approach to stopping the illegal Atlantic slave trade during this period. The West Africa Squadron was credited with capturing 1,600 slave ships between 1808 and 1860, and freeing 150,000 Africans who were aboard these ships.[105] 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.
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According to Patrick Manning, internal slavery was most important to Africa in the second half of the 19th century, stating "if there is any time when one can speak of African societies being organized around a slave mode production, [1850–1900] was it". The abolition of the Atlantic slave trade resulted in the economies of African states dependent on the trade being reorganized towards domestic plantation slavery and legitimate commerce worked by slave labor. Slavery before this period was generally domestic.[66][3]
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The continuing anti-slavery movement in Europe became an excuse and a casus belli for the European conquest and colonization of much of the African continent.[77] It was the central theme of the Brussels Anti-Slavery Conference 1889-90. In the late 19th century, the Scramble for Africa saw the continent rapidly divided between imperialistic European powers, and an early but secondary focus of all colonial regimes was the suppression of slavery and the slave trade. Seymour Drescher argues that European interests in abolition were primarily motivated by economic and imperial goals.[106] Despite slavery often being a justification behind conquest, colonial regimes often ignored slavery or allowed slavery practices to continue. This was because the colonial state depended on the cooperation of indigenous political and economic structures which were heavily involved in slavery. As a result, early colonial policies usually sought to end slave trading while regulating existing slave practices and weakening the power of slave maaters.[61] Furthermore the early colonial states had weak effective control over their territories, which precluded efforts to widespread abolition. Abolition attempts became more concrete later during the colonial period.[61]
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There were many causes for the decline and abolition of slavery in Africa during the colonial period including colonial abolition policies, various economic changes, and slave resistance. The economic changes during the colonial period, including the rise of wage labor and cash crops, hastened the decline of slavery by offering new economic opportunities to slaves. The abolition of slave raiding and the end of wars between African states drastically reduced the supply of slaves. Slaves would take advantage of early colonial laws that nominally abolished slavery and would migrate away from their masters although these laws often were intended to regulate slavery more than actually abolish it. This migration led to more concrete abolition efforts by colonial governments.[61][107][1][61]
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Following conquest and abolition by the French, over a million slaves in French West Africa fled from their masters to earlier homes between 1906 and 1911.[108] In Madagascar over 500,000 slaves were freed following French abolition in 1896.[109] In response to this pressure, Ethiopia officially abolished slavery in 1932, Sokoto Caliphate abolished slavery in 1900, and the rest of the Sahel in 1911. Colonial nations were mostly successful in this aim, though slavery is still very active in Africa even though it has gradually moved to a wage economy. Independent nations attempting to westernize or impress Europe sometimes cultivated an image of slavery suppression, even as they, in the case of Egypt, hired European soldiers like Samuel White Baker's expedition up the Nile. Slavery has never been eradicated in Africa, and it commonly appears in African states, such as Chad, Ethiopia, Mali, Niger, and Sudan, in places where law and order have collapsed.[110]
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Although outlawed in all countries today, slavery is practiced in secret in many parts of the world.[111] There are an estimated 30 million victims of slavery worldwide.[112] In Mauritania alone, up to 600,000 men, women and children, or 20% of the population, are enslaved, many of them used as bonded labour.[113][114] Slavery in Mauritania was finally criminalized in August 2007.[115] During the Second Sudanese Civil War people were taken into slavery; estimates of abductions range from 14,000 to 200,000.[116] In Niger, where the practice of slavery was outlawed in 2003, a study found that almost 8% of the population are still slaves.[117][118]
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Slavery and the slave trades had a significant impact on the size of the population and the gender distribution throughout much of Africa. The precise impact of these demographic shifts has been an issue of significant debate.[119] The Atlantic slave trade took 70,000 people, primarily from the west coast of Africa, per year at its peak in the mid-1700s.[66] The Arab slave trade involved the capture of peoples from the continental interior, who were then shipped overseas through ports on the Red Sea and elsewhere.[120] It peaked at 10,000 people bartered per year in the 1600s.[66] According to Patrick Manning, there was a consistent population decrease in large parts of Sub-Saharan Africa as a result of these slave trades. This population decline throughout West Africa from 1650 until 1850 was exacerbated by the preference of slave traders for male slaves. It is important to note that this preference only existed in the transatlantic slave trade. More female slaves than male were traded across the continent of Africa.[46][66] In eastern Africa, the slave trade was multi-directional and changed over time. To meet the demand for menial labor, Zanj slaves captured from the southern interior were sold through ports on the northern seaboard in cumulatively large numbers over the centuries to customers in the Nile Valley, Horn of Africa, Arabian Peninsula, Persian Gulf, India, Far East and the Indian Ocean islands.[120]
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The extent of slavery within Africa and the trade in slaves to other regions is not known precisely. Although the Atlantic slave trade has been best studied, estimates range from 8 million people to 20 million.[121] The Trans-Atlantic Slave Trade Database estimates that the Atlantic slave trade took around 12.8 million people between 1450 and 1900.[1][122] The slave trade across the Sahara and Red Sea from the Sahara, the Horn of Africa, and East Africa, has been estimated at 6.2 million people between 600 and 1600.[1] Although the rate decreased from East Africa in the 1700s, it increased in the 1800s and is estimated at 1.65 million for that century.[1]
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Estimates by Patrick Manning are that about 12 million slaves entered the Atlantic trade between the 16th and 19th century, but about 1.5 million died on board ship.[123] About 10.5 million slaves arrived in the Americas.[123] Besides the slaves who died on the Middle Passage, more Africans likely died during the slave raids in Africa and forced marches to ports. Manning estimates that 4 million died inside Africa after capture, and many more died young.[123] Manning's estimate covers the 12 million who were originally destined for the Atlantic, as well as the 6 million destined for Asian slave markets and the 8 million destined for African markets.[123]
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The demographic effects of the slave trade are some of the most controversial and debated issues. Walter Rodney argued that the export of so many people had been a demographic disaster and had left Africa permanently disadvantaged when compared to other parts of the world, and that this largely explains that continent's continued poverty.[124] He presents numbers that show that Africa's population stagnated during this period, while that of Europe and Asia grew dramatically. According to Rodney all other areas of the economy were disrupted by the slave trade as the top merchants abandoned traditional industries to pursue slaving and the lower levels of the population were disrupted by the slaving itself.
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Others have challenged this view. J. D. Fage compared the number effect on the continent as a whole. David Eltis has compared the numbers to the rate of emigration from Europe during this period. In the 19th century alone over 50 million people left Europe for the Americas, a far higher rate than were ever taken from Africa.[125]
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Others in turn challenged that view. Joseph E. Inikori argues the history of the region shows that the effects were still quite deleterious. He argues that the African economic model of the period was very different from the European, and could not sustain such population losses. Population reductions in certain areas also led to widespread problems. Inikori also notes that after the suppression of the slave trade Africa's population almost immediately began to rapidly increase, even prior to the introduction of modern medicines.[126]
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There is a longstanding debate among analysts and scholars about the destructive impacts of the slave trades.[20] It is often claimed that the slave trade undermined local economies and political stability as villages' vital labour forces were shipped overseas as slave raids and civil wars became commonplace. With the rise of a large commercial slave trade, driven by European needs, enslaving your enemy became less a consequence of war, and more and more a reason to go to war.[127] The slave trade was claimed to have impeded the formation of larger ethnic groups, causing ethnic factionalism and weakening the formation for stable political structures in many places. It also is claimed to have reduced the mental health and social development of African people.[128]
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In contrast to these arguments, J. D. Fage asserts that slavery did not have a wholly disastrous effect on the societies of Africa.[129] Slaves were an expensive commodity, and traders received a great deal in exchange for each enslaved person. At the peak of the slave trade hundreds of thousands of muskets, vast quantities of cloth, gunpowder, and metals were being shipped to Guinea. Most of this money was spent on British-made firearms (of very poor quality) and industrial-grade alcohol. Trade with Europe at the peak of the slave trade—which also included significant exports of gold and ivory—was some 3.5 million pounds Sterling per year. By contrast, the trade of the United Kingdom, the economic superpower of the time, was about 14 million pounds per year over this same period of the late 18th century. As Patrick Manning has pointed out, the vast majority of items traded for slaves were common rather than luxury goods. Textiles, iron ore, currency, and salt were some of the most important commodities imported as a result of the slave trade, and these goods were spread within the entire society raising the general standard of living.[20]
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Although debated, it is argued that the Atlantic slave trade devastated the African economy. In 19th century Yoruba Land, economic activity was described to be at its lowest ever while life and property were being taken daily, and normal living was in jeopardy because of the fear of being kidnapped.[130] (Onwumah, Imhonopi, Adetunde,2019)
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Karl Marx in his economic history of capitalism, [Das Kapital], claimed that "...the turning of Africa into a warren for the commercial hunting of black-skins [that is, the slave trade], signalled the rosy dawn of the era of capitalist production." He argued that the slave trade was part of what he termed the "primitive accumulation" of European capital, the non-capitalist accumulation of wealth that preceded and created the financial conditions for Britain's industrialisation and the advent of the capitalist mode of production.[131]
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Eric Williams has written about the contribution of Africans on the basis of profits from the slave trade and slavery, arguing that the employment of those profits were used to help finance Britain’s industrialisation. He argues that the enslavement of Africans was an essential element to the Industrial Revolution, and that European wealth was, in part, a result of slavery, but that by the time of its abolition it had lost its profitability and it was in Britain's economic interest to ban it.[132] Joseph Inikori has written that the British slave trade was more profitable than the critics of Williams believe. Other researchers and historians have strongly contested what has come to be referred to as the "Williams thesis" in academia: David Richardson has concluded that the profits from the slave trade amounted to less than 1% of domestic investment in Britain,[133] and economic historian Stanley Engerman finds that even without subtracting the associated costs of the slave trade (e.g., shipping costs, slave mortality, mortality of whites in Africa, defense costs) or reinvestment of profits back into the slave trade, the total profits from the slave trade and of West Indian plantations amounted to less than 5% of the British economy during any year of the Industrial Revolution.[134] Historian Richard Pares, in an article written before Williams’ book, dismisses the influence of wealth generated from the West Indian plantations upon the financing of the Industrial Revolution, stating that whatever substantial flow of investment from West Indian profits into industry there was occurred after emancipation, not before.[135] Findlay and O'Rourke noted that the figures presented by O'Brien (1982) to back his claim that "the periphery was peripheral" suggest the opposite, with profits from the periphery 1784–1786 being £5.66 million when there was £10.30 million total gross investment in the British economy and similar proportions for 1824–1826. They note that dismissing the profits of the enslavement of human beings from significance because it was a "small share of national income", could be used to argue that there was no industrial revolution, since modern industry provided only a small share of national income and that it is a mistake to assume that small size is the same as small significance. Findlay and O'Rourke also note that the share of American export commodities produced by enslaved human beings, rose from 54% between 1501 and 1550 to 82.5% between 1761–1780.[136]
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Seymour Drescher and Robert Anstey argue the slave trade remained profitable until the end, because of innovations in agriculture, and that moralistic reform, not economic incentive, was primarily responsible for abolition.[137]
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A similar debate has taken place about other European nations. The French slave trade, it is argued, was more profitable than alternative domestic investments, and probably encouraged capital accumulation before the Industrial Revolution and Napoleonic Wars.[138]
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Maulana Karenga states the effects of the Atlantic slave trade in African captives: "[T]he morally monstrous destruction of human possibility involved redefining African humanity to the world, poisoning past, present and future relations with others who only know us through this stereotyping and thus damaging the truly human relations among people of today". He says that it constituted the destruction of culture, language, religion and human possibility.[139]
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1 |
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Slavery has historically been widespread in Africa, and still continues today in some African countries.
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Systems of servitude and slavery were common in parts of Africa in ancient times, as they were in much of the rest of the ancient world. When the Arab slave trade (which started in the 7th century) and Atlantic slave trade (which started in the 16th century) began, many of the pre-existing local African slave systems began supplying captives for slave markets outside Africa.[1]
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Slavery in historical Africa was practiced in many different forms: Debt slavery, enslavement of war captives, military slavery, slavery for prostitution, and criminal slavery were all practiced in various parts of Africa.[2] Slavery for domestic and court purposes was widespread throughout Africa. Plantation slavery also occurred, primarily on the eastern coast of Africa and in parts of West Africa. The importance of domestic plantation slavery increased during the 19th century, due to the abolition of the Atlantic slave trade. Many African states dependent on the international slave trade reoriented their economies towards legitimate commerce worked by slave labor.[3]
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Multiple forms of slavery and servitude have existed throughout African history, and were shaped by indigenous practices of slavery as well as the Roman institution of slavery[citation needed] (and the later Christian views on slavery), the Islamic institutions of slavery via the Arab slave trade, and eventually the Atlantic slave trade.[1]
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Slavery was a part of the economic structure of African societies for many centuries, although the extent varied.[1]
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Ibn Battuta, who visited the ancient kingdom of Mali in the mid-14th century, recounts that the local inhabitants vied with each other in the number of slaves and servants they had, and was himself given a slave boy as a "hospitality gift."[4] In sub-Saharan Africa, the slave relationships were often complex, with rights and freedoms given to individuals held in slavery and restrictions on sale and treatment by their masters.[5] Many communities had hierarchies between different types of slaves: for example, differentiating between those who had been born into slavery and those who had been captured through war.[6]
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Travels in the Interior of Africa, Mungo Park, Travels in the Interior of Africa v. II, Chapter XXII – War and Slavery.
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The forms of slavery in Africa were closely related to kinship structures. In many African communities, where land could not be owned, enslavement of individuals was used as a means to increase the influence a person had and expand connections.[7] This made slaves a permanent part of a master's lineage, and the children of slaves could become closely connected with the larger family ties.[1] Children of slaves born into families could be integrated into the master's kinship group and rise to prominent positions within society, even to the level of chief in some instances.[6] However, stigma often remained attached, and there could be strict separations between slave members of a kinship group and those related to the master.[7]
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Chattel slavery is a specific servitude relationship where the slave is treated as the property of the owner. As such, the owner is free to sell, trade, or treat the slave as he would other pieces of property, and the children of the slave often are retained as the property of the master.[8] There is evidence of long histories of chattel slavery in the Nile River valley and North Africa, but evidence is incomplete about the extent and practices of chattel slavery throughout much of the rest of the continent prior to written records by Arab or European traders.[8][9]
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Many slave relationships in Africa revolved around domestic slavery, where slaves would work primarily in the house of the master, but retain some freedoms. Domestic slaves could be considered part of the master's household and would not be sold to others without extreme cause. The slaves could own the profits from their labour (whether in land or in products), and could marry and pass the land on to their children in many cases.[6][10]
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Pawnship, or debt bondage slavery, involves the use of people as collateral to secure the repayment of debt. Slave labor is performed by the debtor, or a relative of the debtor (usually a child). Pawnship was a common form of collateral in West Africa. It involved the pledge of a person or a member of that person's family, to serve another person providing credit. Pawnship was related to, yet distinct from, slavery in most conceptualizations, because the arrangement could include limited, specific terms of service to be provided, and because kinship ties would protect the person from being sold into slavery. Pawnship was a common practice throughout West Africa prior to European contact, including among the Akan people, the Ewe people, the Ga people, the Yoruba people, and the Edo people (in modified forms, it also existed among the Efik people, the Igbo people, the Ijaw people, and the Fon people).[11][12]
|
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Military slavery involved the acquisition and training of conscripted military units which would retain the identity of military slaves even after their service.[13] Slave soldier groups would be run by a Patron, who could be the head of a government or an independent warlord, and who would send his troops out for money and his own political interests.[13]
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This was most significant in the Nile valley (primarily in Sudan and Uganda), with slave military units organized by various Islamic authorities,[13] and with the war chiefs of Western Africa.[14] The military units in Sudan were formed in the 1800s through large-scale military raiding in the area which is currently the countries of Sudan and South Sudan.[13]
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Moreover, a considerable number of the men born between 1800 and 1849 in West African regions (today Ghana and Burkina Faso) and abducted as slaves to serve in the army in Dutch Indonesia. Interestingly, soldiers were on average 3 cm taller than other West African population. Furthermore, data showed, West Africans were shorter than North Europeans but of almost equal height to South Europeans. This was mainly related to the quality of the nutrition and healthcare.[15]
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Human sacrifice was common in West African states up to and during the 19th century. Although archaeological evidence is not clear on the issue prior to European contact, in those societies that practiced human sacrifice, slaves became the most prominent victims.[1]
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The Annual Customs of Dahomey were the most notorious example of the human sacrifice of slaves, where 500 prisoners would be sacrificed. Sacrifices were carried out all along the West African coast and further inland. Sacrifices were common in the Benin Empire, in what is now Ghana, and in the small independent states in what is now southern Nigeria. In the Ashanti Region, human sacrifice was often combined with capital punishment.[16][17][18]
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Many nations such as the Ashanti of present-day Ghana and the Yoruba of present-day Nigeria were involved in slave-trading. Groups such as the Imbangala of Angola and the Nyamwezi of Tanzania would serve as intermediaries or roving bands, waging war on African states to capture people for export as slaves. Historians John Thornton and Linda Heywood of Boston University have estimated that of the Africans captured and then sold as slaves to the New World in the Atlantic slave trade, around 90% were enslaved by fellow Africans who sold them to European traders.[19] Henry Louis Gates, the Harvard Chair of African and African American Studies, has stated that "without complex business partnerships between African elites and European traders and commercial agents, the slave trade to the New World would have been impossible, at least on the scale it occurred."[19]
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The entire Bubi ethnic group descends from escaped intertribal slaves owned by various ancient West-central African ethnic groups.[citation needed]
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Like most other regions of the world, slavery and forced labor existed in many kingdoms and societies of Africa for hundreds of years.[20][5] According to Ugo Kwokeji, early European reports of slavery throughout Africa in the 1600s are unreliable because they often conflated various forms of servitude as equal to chattel slavery.[21]
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The best evidence of slave practices in Africa come from the major kingdoms, particularly along the coast, and there is little evidence of widespread slavery practices in stateless societies.[1][5][6] Slave trading was mostly secondary to other trade relationships; however, there is evidence of a trans-Saharan slave trade route from Roman times which persisted in the area after the fall of the Roman Empire.[8] However, kinship structures and rights provided to slaves (except those captured in war) appears to have limited the scope of slave trading before the start of the Arab slave trade and the Atlantic slave trade.[5]
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Slavery in northern Africa dates back to ancient Egypt. The New Kingdom (1558–1080 BC) brought in large numbers of slaves as prisoners of war up the Nile valley and used then for domestic and supervised labor.[23] Ptolemaic Egypt (305 BC–30 BC) used both land and sea routes to bring slaves in.[24]
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Chattel slavery had been legal and widespread throughout North Africa when the region was controlled by the Roman Empire (145 BC – ca. 430 AD), and by the Eastern Romans from 533 to 695). A slave trade bringing Saharans through the desert to North Africa, which existed in Roman times, continued and documentary evidence in the Nile Valley shows it to have been regulated there by treaty.[8] As the Roman republic expanded, it enslaved defeated enemies and Roman conquests in Africa were no exception. For example, Orosius records that Rome enslaved 27,000 people from North Africa in 256 BC.[25] Piracy became an important source of slaves for the Roman Empire and in the 5th century AD pirates would raid coastal North African villages and enslave the captured.[26] Chattel slavery persisted after the fall of the Roman Empire in the largely Christian communities of the region. After the Islamic expansion into most of the region because of the trade expansion across the Sahara,[27] the practices continued and eventually, the assimilative form of slavery spread to major societies on the southern end of the Sahara (such as Mali, Songhai, and Ghana).[1]
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The medieval slave trade in Europe was mainly to the East and South: the Christian Byzantine Empire and the Muslim World were the destinations, Central and Eastern Europe an important source of slaves.[28] Slavery in medieval Europe was so widespread that the Roman Catholic Church repeatedly prohibited it—or at least the export of Christian slaves to non-Christian lands was prohibited at, for example, the Council of Koblenz in 922, the Council of London in 1102, and the Council of Armagh in 1171. Because of religious constraints, the slave trade was carried out in parts of Europe by Iberian Jews (known as Radhanites) who were able to transfer slaves from pagan Central Europe through Christian Western Europe to Muslim countries in Al-Andalus and Africa.[29]
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The Mamluks were slave soldiers who converted to Islam and served the Muslim caliphs and the Ayyubid Sultans during the Middle Ages. The first Mamluks served the Abbasid caliphs in 9th century Baghdad. Over time, they became a powerful military caste, and on more than one occasion they seized power for themselves, for example, ruling Egypt from 1250–1517. From 1250 Egypt had been ruled by the Bahri dynasty of Kipchak Turk origin. White enslaved people from the Caucasus served in the army and formed an elite corps of troops, eventually revolting in Egypt to form the Burgi dynasty.[30]
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According to Robert Davis between 1 million and 1.25 million Europeans were captured by Barbary pirates and sold as slaves to North Africa and the Ottoman Empire between the 16th and 19th centuries.[31][32] However, to extrapolate his numbers, Davis assumes the number of European slaves captured by Barbary pirates were constant for a 250-year period, stating:
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"There are no records of how many men, women and children were enslaved, but it is possible to calculate roughly the number of fresh captives that would have been needed to keep populations steady and replace those slaves who died, escaped, were ransomed, or converted to Islam. On this basis, it is thought that around 8,500 new slaves were needed annually to replenish numbers - about 850,000 captives over the century from 1580 to 1680. By extension, for the 250 years between 1530 and 1780, the figure could easily have been as high as 1,250,000."[33]
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Davis' numbers have been disputed by other historians, such as David Earle, who cautions that the true picture of European slaves is clouded by the fact the corsairs also seized non-Christian whites from eastern Europe and black people from west Africa.[33]
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In addition, the number of slaves traded was hyperactive, with exaggerated estimates relying on peak years to calculate averages for entire centuries, or millennia. Hence, there were wide fluctuations year-to-year, particularly in the 18th and 19th centuries, given slave imports, and also given the fact that, prior to the 1840s, there are no consistent records. Middle East expert John Wright cautions that modern estimates are based on back-calculations from human observation.[34]
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Such observations, across the late 1500s and early 1600s observers, estimate that around 35,000 European Christian slaves held throughout this period on the Barbary Coast, across Tripoli, Tunis, but mostly in Algiers. The majority were sailors (particularly those who were English), taken with their ships, but others were fishermen and coastal villagers. However, most of these captives were people from lands close to Africa, particularly Spain and Italy.[35]
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The coastal villages and towns of Italy, Portugal, Spain, and Mediterranean islands were frequently attacked by the pirates, and long stretches of the Italian and Spanish coasts were almost completely abandoned by their inhabitants; after 1600 Barbary pirates occasionally entered the Atlantic and struck as far north as Iceland. The most famous corsairs were the Ottoman Barbarossa ("Redbeard"), and his older brother Oruç, Turgut Reis (known as Dragut in the West), Kurtoğlu (known as Curtogoli in the West), Kemal Reis, Salih Reis, and Koca Murat Reis.[32][36]
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In 1544, Hayreddin Barbarossa captured Ischia, taking 4,000 prisoners in the process, and deported to slavery some 9,000 inhabitants of Lipari, almost the entire population.[37] In 1551, Dragut enslaved the entire population of the Maltese island Gozo, between 5,000 and 6,000, sending them to Libya. When pirates sacked Vieste in southern Italy in 1554 they took an estimated 7,000 slaves. In 1555, Turgut Reis sailed to Corsica and ransacked Bastia, taking 6,000 prisoners. In 1558 Barbary corsairs captured the town of Ciutadella, destroyed it, slaughtered the inhabitants, and carried off 3,000 survivors to Istanbul as slaves.[38] In 1563 Turgut Reis landed at the shores of the province of Granada, Spain, and captured the coastal settlements in the area like Almuñécar, along with 4,000 prisoners. Barbary pirates frequently attacked the Balearic islands, resulting in many coastal watchtowers and fortified churches being erected. The threat was so severe that Formentera became uninhabited.[39][40]
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Early modern sources are full of descriptions of the sufferings of Christian galley slaves of the Barbary corsairs:
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Those who have not seen a galley at sea, especially in chasing or being chased, cannot well conceive the shock such a spectacle must give to a heart capable of the least tincture of commiseration. To behold ranks and files of half-naked, half-starved, half-tanned meagre wretches, chained to a plank, from whence they remove not for months together (commonly half a year), urged on, even beyond human strength, with cruel and repeated blows on their bare flesh...[41]
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As late as 1798, the islet near Sardinia was attacked by the Tunisians and over 900 inhabitants were taken away as slaves.
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Sahrawi-Moorish society in Northwest Africa was traditionally (and still is, to some extent) stratified into several tribal castes, with the Hassane warrior tribes ruling and extracting tribute – horma – from the subservient Berber-descended znaga tribes. Below them ranked servile groups known as Haratin, a black population.[42]
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Enslaved Sub-Saharan Africans were also transported across North Africa into Arabia to do agricultural work because of their resistance to malaria that plagued the Arabia and North Africa at the time of early enslavement. Sub-Saharan Africans were able to endure the malaria-infested lands they were transported to, which is why North Africans were not transported despite their close proximity to Arabia and its surrounding lands.[43]
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In the Horn of Africa, the Christian kings of the Ethiopian Empire often exported pagan Nilotic slaves from their western borderlands, or from newly conquered or reconquered lowland territories.[44] The Somali and Afar Muslim sultanates, such as the medieval Adal Sultanate, through their ports also traded Zanj (Bantu) slaves who were captured from the hinterland.[45]
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Slavery, as practiced in Ethiopia, was essentially domestic and was geared more towards women; this was the trend for most of Africa as well. Women were transported across the Sahara, the Middle East, and the Mediterranean and the Indian Ocean trade more than men.[46] Enslaved people served in the houses of their masters or mistresses, and were not employed to any significant extent for productive purpose. The enslaved were regarded as second-class members of their owners' family.[47] The first attempt to abolish slavery in Ethiopia was made by Emperor Tewodros II (r. 1855–68),[48] although the slave trade was not abolished legally until 1923 with Ethiopia's ascension to the League of Nations.[49] Anti-Slavery Society estimated there were 2 million slaves in the early 1930s, out of an estimated population of between 8 and 16 million.[50] Slavery continued in Ethiopia until the Italian invasion in October 1935, when the institution was abolished by order of the Italian occupying forces.[51] In response to pressure by Western Allies of World War II, Ethiopia officially abolished slavery and involuntary servitude after having regained its independence in 1942.[52][53] On 26 August 1942, Haile Selassie issued a proclamation outlawing slavery.[54]
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In Somali territories, slaves were purchased in the slave market exclusively to do work on plantation grounds.[55] In terms of legal considerations, the customs regarding the treatment of Bantu slaves were established by the decree of Sultans and local administrative legates[disambiguation needed]. Additionally, freedom for these plantation slaves was also often acquired through eventual emancipation, escape, and ransom.[55]
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Oral tradition recounts slavery existing in the Kingdom of Kongo from the time of its formation with Lukeni lua Nimi enslaving the Mwene Kabunga whom he conquered to establish the kingdom.[56] Early Portuguese writings show that the Kingdom did have slavery before contact, but that they were primarily war captives from the Kingdom of Ndongo.[56][57]
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Slavery was common along the Upper Congo River, and in the second half of the 18th century the region became a major source of slaves for the Atlantic Slave Trade, when high slave prices on the coast made long-distance slave trading profitable. When the Atlantic trade came to an end, the prices of slaves dropped dramatically, and the regional slave trade grew, dominated by Bobangi traders. The Bobangi also purchased a large number of slaves with profits from selling ivory, who they used to populate their villages. A distinction was made between two different types of slaves in this region; slaves who had been sold by their kin group, typically as a result of undesirable behavior such as adultery, were unlikely to attempt to flee. In addition to those considered socially undesirable, the sale of children was also common in times of famine. Slaves who were captured, however, were likely to attempt to escape and had to be moved hundreds of kilometers from their homes as a safeguard against this.[58]
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The slave trade had a profound impact on this region of Central Africa, completely reshaping various aspects of society. For instance, the slave trade helped to create a robust regional trade network for the foodstuffs and crafted goods of small producers along the river. As the transport of only a few slaves in a canoe was sufficient to cover the cost of a trip and still make a profit, traders could fill any unused space on their canoes with other goods and transport them long distances without a significant markup on price. While the large profits from the Congo River slave trade only went to a small number of traders, this aspect of the trade provided some benefit to local producers and consumers.[59]
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Various forms of slavery were practiced in diverse ways in different communities of West Africa prior to European trade.[20] Even though slavery did exist, it was not nearly as prevalent within most West African societies that were not Islamic before the Trans-Atlantic Slave Trade.[60][61] The prerequisites for slave societies to exist weren't present in West Africa prior to the Atlantic slave trade considering the small market sizes and the lack of a division of labor.[60] Most West African societies were formed in Kinship units which would make slavery a rather marginal part of the production process within them.[1] Slaves within Kinship-based societies would have had almost the same roles that free members had.[1] Martin Klein has said that before the Atlantic trade, slaves in Western Sudan “made up a small part of the population, lived within the household, worked alongside free members of the household, and participated in a network of face-to-face links.”[60] With the development of the trans-Saharan slave trade and the economies of gold in the western Sahel, a number of the major states became organized around the slave trade, including the Ghana Empire, the Mali Empire, and Songhai Empire.[62] However, other communities in West Africa largely resisted the slave trade. The Jola refused to participate in the slave trade up into the end of the seventeenth century, and didn't use slave labor within their own communities until the nineteenth century. The Kru and Baga also fought against the slave trade.[63] The Mossi Kingdoms tried to take over key sites in the trans-Saharan trade and, when these efforts failed, the Mossi became defenders against slave raiding by the powerful states of the western Sahel. The Mossi would eventually enter the slave trade in the 1800s with the Atlantic slave trade being the main market.[62]
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Senegal was a catalyst for slave trade, and from the Homann Heirs map figure shown, shows a starting point for migration and a firm port of trade. The culture of the Gold Coast was based largely on the power that individuals held, rather than the land cultivated by a family. Western Africa, and specifically places like Senegal, were able to arrive at the development of slavery through analyzing the aristocratic advantages of slavery and what would best suit the region. This sort of governing that used "political tool" of discerning the different labors and methods of assimilative slavery. The domestic and agricultural labor became more evidently primary in Western Africa due to slaves being regarded as these "political tools" of access and status. Slaves often had more wives than their owners, and this boosted the class of their owners. Slaves were not all used for the same purpose. European colonizing countries were participating in the trade to suit the economic needs of their countries. The parallel of "Moorish" traders found in the desert compared to the Portuguese traders that were not as established pointed out the differences in uses of slaves at this point, and where they were headed in the trade.
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Historian Walter Rodney identified no slavery or significant domestic servitude in early European accounts on the Upper Guinea region[6] and I. A. Akinjogbin contends that European accounts reveal that the slave trade was not a major activity along the coast controlled by the Yoruba people and Aja people before Europeans arrived.[64] In a paper read to the Ethnological Society of London in 1866, the viceroy of Lokoja Mr T. Valentine Robins, who in 1864 accompanied an expedition up the River Niger aboard HMS Investigator, described slavery in the region:
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Upon slavery Mr Robins remarked that it was not what people in England thought it to be. It means, as continually found in this part of Africa, belonging to a family group-there is no compulsory labour, the owner and the slave work together, eat like food, wear like clothing and sleep in the same huts. Some slaves have more wives than their masters. It gives protection to the slaves and everything necessary for their subsistence - food and clothing. A free man is worse off than a slave; he cannot claim his food from anyone.[65]
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90 |
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With the beginning of the Atlantic slave trade, demand for slavery in West Africa increased and a number of states became centered on the slave trade and domestic slavery increased dramatically.[66] Hugh Clapperton in 1824 believed that half the population of Kano were enslaved people.[67]
|
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In the Senegambia region, between 1300 and 1900, close to one-third of the population was enslaved. In early Islamic states of the western Sahel, including Ghana (750–1076), Mali (1235–1645), Segou (1712–1861), and Songhai (1275–1591), about a third of the population were enslaved. In Sierra Leone in the 19th century about half of the population consisted of enslaved people. Among the Vai people, during the 19th century, three quarters of people were slaves. In the 19th century at least half the population was enslaved among the Duala of the Cameroon and other peoples of the lower Niger, the Kongo, and the Kasanje kingdom and Chokwe of Angola. Among the Ashanti and Yoruba a third of the population consisted of enslaved people. The population of the Kanem (1600–1800) was about one-third enslaved. It was perhaps 40% in Bornu (1580–1890). Between 1750 and 1900 from one- to two-thirds of the entire population of the Fulani jihad states consisted of enslaved people. The population of the Sokoto caliphate formed by Hausas in the northern Nigeria and Cameroon was half-enslaved in the 19th century. Slavery was widespread among Taureg peoples and lasted until at least 1975. Among the Adrar 15 percent of people were enslaved, and 75 percent of the Gurma were enslaved.[68]
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When British rule was first imposed on the Sokoto Caliphate and the surrounding areas in northern Nigeria at the turn of the 20th century, approximately 2 million to 2.5 million people there were enslaved.[69] Slavery in northern Nigeria was finally outlawed in 1936.[70]
|
96 |
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With sea trade from the eastern African Great Lakes region to Persia, China, and India during the first millennium AD, slaves are mentioned as a commodity of secondary importance to gold and ivory. When mentioned, the slave trade appears to be of a small-scale and mostly involves slave raiding of women and children along the islands of Kilwa Kisiwani, Madagascar, and Pemba. In places such as Uganda, the experience for women in slavery was different than that of customary slavery practices at the time. The roles assumed were based off gender and position within the society. First one must make the distinction in Ugandan slavery of peasants and slaves. Researchers Shane Doyle and Henri Médard assert the distinction with the following:
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"Peasants were rewarded for valour in battle by the present of slaves by the lord or chief for whom they had fought. They could be given slaves by relatives who had been promoted to the rank of chiefs, and they could inherit slaves from their fathers. There were the abanyage (those pillaged or stolen in war) as well as the abagule (those bought). All these came under the category of abenvumu or true slaves, that is to say people not free in any sense. In a superior position were the young Ganda given by their maternal uncles into slavery (or pawnship), usually in lieu of debts... Besides such slaves both chiefs and king were served by sons of well to do men who wanted to please them and attract favour for themselves or their children. These were the abasige and formed a big addition to a noble household.... All these different classes of dependents in a household were classed as Medard & Doyle abaddu (male servants) or abazana (female servants) whether they were slave or free-born.(175)"
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In the Great Lakes region of Africa (around present-day Uganda), linguistic evidence shows the existence of slavery through war capture, trade, and pawning going back hundreds of years; however, these forms, particularly pawning, appear to have increased significantly in the 18th and 19th centuries.[71] These slaves were considered to be more trustworthy than those from the Gold Coast. They were regarded with more prestige because of the training they responded to.
|
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The language for slaves in the Great Lakes region varied. This region of water made it easy for capture of slaves and transport. Captive, refugee, slave, peasant were all used in order to describe those in the trade. The distinction was made by where and for what purpose they would be utilized for. Methods like pillage, plunder, and capture were all semantics common in this region to depict the trade.
|
104 |
+
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Historians Campbell and Alpers argue that there were a host of different categories of labor in Southeast Africa and that the distinction between slave and free individuals was not particularly relevant in most societies.[72] However, with increasing international trade in the 18th and 19th century, Southeast Africa began to be involved significantly in the Atlantic slave trade; for example, with the king of Kilwa island signing a treaty with a French merchant in 1776 for the delivery of 1,000 slaves per year.[73]
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At about the same time, merchants from Oman, India, and Southeast Africa began establishing plantations along the coasts and on the islands,[74] To provide workers on these plantations, slave raiding and slave holding became increasingly important in the region and slave traders (most notably Tippu Tip) became prominent in the political environment of the region.[73] The Southeast African trade reached its height in the early decades of the 1800s with up to 30,000 slaves sold per year. However, slavery never became a significant part of the domestic economies except in Sultanate of Zanzibar where plantations and agricultural slavery were maintained.[66] Author and historian Timothy Insoll wrote: "Figures record the exporting of 718,000 slaves from the Swahili coast during the 19th century, and the retention of 769,000 on the coast."[75] At various times, between 65 and 90 percent of Zanzibar was enslaved. Along the Kenya coast, 90 percent of the population was enslaved, while half of Madagascar's population was enslaved.[76]
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Slave relationships in Africa have been transformed through three large-scale processes: the Arab slave trade, the Atlantic slave trade, and the slave emancipation policies and movements in the 19th and 20th centuries. Each of these processes significantly changed the forms, level, and economics of slavery in Africa.[1]
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Slave practices in Africa were used during different periods to justify specific forms of European engagement with the peoples of Africa. Eighteenth century writers in Europe claimed that slavery in Africa was quite brutal in order to justify the Atlantic slave trade. Later writers used similar arguments to justify intervention and eventual colonization by European powers to end slavery in Africa.[77]
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Africans knew of the harsh slavery that awaited slaves in the New World. Many elite Africans visited Europe on slave ships following the prevailing winds through the New World. One example of this occurred when Antonio Manuel, Kongo’s ambassador to the Vatican, went to Europe in 1604, stopping first in Bahia, Brazil, where he arranged to free a countryman who had been wrongfully enslaved. African monarchs also sent their children along these same slave routes to be educated in Europe, and thousands of former slaves eventually returned to settle Liberia and Sierra Leone.[19]
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The enslavement of Africans for eastern markets started before 7th century but remained at low levels until 1750.[78] The trade volume peaked around 1850 but would largely have ended around 1900.[78] Arab slave trade starting in the eighth and ninth centuries AD, began with small-scale movement of people largely from the eastern Great Lakes region and the Sahel. Islamic law allowed slavery, but prohibited slavery involving other pre-existing Muslims; as a result, the main target for slavery were the people who lived in the frontier areas of Islam in Africa.[8] The trade of slaves across the Sahara and across the Indian Ocean also has a long history beginning with the control of sea routes by Afro-Arab traders in the ninth century. It is estimated that, at that time, a few thousand enslaved people were taken each year from the Red Sea and Indian Ocean coast. They were sold throughout the Middle East. This trade accelerated as superior ships led to more trade and greater demand for labour on plantations in the region. Eventually, tens of thousands per year were being taken.[79] On the Swahili Coast, the Afro-Arab slavers captured Bantu peoples from the interior and brought them to the littoral.[80][81] There, the slaves gradually assimilated in the rural areas, particularly on the Unguja and Pemba islands.[80]
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This changed the slave relationships by creating new forms of employment by slaves (as eunuchs to guard harems, and in military units) and creating conditions for freedom (namely conversion—although it would only free a slave's children).[1][13] Although the level of the trade remained relatively small, the size of total slaves traded grew to a large number over the multiple centuries of its existence.[1] Because of its small and gradual nature, the impact on slavery practices in communities that did not convert to Islam was relatively small.[1] However, in the 1800s, the slave trade from Africa to the Islamic countries picked up significantly. When the European slave trade ended around the 1850s, the slave trade to the east picked up significantly only to be ended with European colonization of Africa around 1900.[66] Between 1500 and 1900, up to 17 million Africans slaves were transported by Muslim traders to the coast of the Indian Ocean, the Middle East, and North Africa.[82]
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In 1814, Swiss explorer Johann Burckhardt wrote of his travels in Egypt and Nubia, where he saw the practice of slave trading: "I frequently witnessed scenes of the most shameless indecency, which the traders, who were the principal actors, only laughed at. I may venture to state, that very few female slaves who have passed their tenth year, reach Egypt or Arabia in a state of virginity."[83]
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David Livingstone while talking about the slave trade in East Africa in his journals:
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To overdraw its evil is a simple impossibility.[84]:442
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+
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Livingstone wrote about a group of slaves forced to march by Arab slave traders in the African Great Lakes region when he was travelling there in 1866:
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19th June 1866 - We passed a woman tied by the neck to a tree and dead, the people of the country explained that she had bene unable to keep up with the other slaves in a gang, and her master had determined that she should not become anyone's property if she recovered.[84]:5626th June 1866 - ... We passed a slave woman shot or stabbed through the body and lying on the path: a group of mon stood about a hundred yards off on one side, and another of the women on the other side, looking on; they said an Arab who passed early that morning had done it in anger at losing the price he had given for her, because she was unable to walk any longer.
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27th June 1866 - To-day we came upon a man dead from starvation, as he was very thin. One of our men wandered and found many slaves with slave-sticks on, abandoned by their masters from want of food; they were too weak to be able to speak or say where they had come from; some were quite young.[84]:62
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Zanzibar was once East Africa's main slave-trading port, and under Omani Arabs in the 19th century as many as 50,000 slaves were passing through the city each year.[85]
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The Atlantic slave trade or transatlantic slave trade took place across the Atlantic Ocean from the 15th through to the 19th centuries. According to Patrick Manning, the Atlantic slave trade was significant in transforming Africans from a minority of the global population of slaves in 1600 into the overwhelming majority by 1800 and by 1850 the number of African slaves within Africa exceeded those in the Americas.[86]
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The slave trade was transformed from a marginal aspect of the economies into the largest sector in a relatively short span. In addition, agricultural plantations increased significantly and became a key aspect in many societies.[1] Economic urban centers that served as the root of main trade routes shifted towards the West coast.[87] At the same time, many African communities relocated far away from slave trade routes, often protecting themselves from the Atlantic slave trade but hindering economic and technological development at the same time.[88]
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In many African societies traditional lineage slavery became more like chattel slavery due to an increased work demand.[89] This resulted in a general decrease in quality of life, working conditions, and status of slaves in West African societies. Assimilative slavery was increasingly replaced with chattel slavery. Assimilitave slavery in Africa often allowed eventual freedom and also significant cultural, social, and/or economic influence. Slaves were often treated as part of their owner's family, rather than simply property.[89]
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The distribution of gender among enslaved peoples under traditional lineage slavery saw women as more desirable slaves due to demands for domestic labor and for reproductive reasons.[89] Male slaves were used for more physical agricultural labor,[90] but as more enslaved men were taken to the West Coast and across the Atlantic to the New World, female slaves were increasingly used for physical and agricultural labour and polygyny also increased. Chattel slavery in America was highly demanding because of the physical nature of plantation work and this was the most common destination for male slaves in the New World.[89]
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It has been argued that a decrease in able-bodied people as a result of the Atlantic slave trade limited many societies ability to cultivate land and develop. Many scholars argue that the transatlantic slave trade, left Africa underdeveloped, demographically unbalanced, and vulnerable to future European colonization.[88]
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The first Europeans to arrive on the coast of Guinea were the Portuguese; the first European to actually buy enslaved Africans in the region of Guinea was Antão Gonçalves, a Portuguese explorer in 1441 AD. Originally interested in trading mainly for gold and spices, they set up colonies on the uninhabited islands of São Tomé. In the 16th century the Portuguese settlers found that these volcanic islands were ideal for growing sugar. Sugar growing is a labour-intensive undertaking and Portuguese settlers were difficult to attract due to the heat, lack of infrastructure, and hard life. To cultivate the sugar the Portuguese turned to large numbers of enslaved Africans. Elmina Castle on the Gold Coast, originally built by African labour for the Portuguese in 1482 to control the gold trade, became an important depot for slaves that were to be transported to the New World.[91]
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The Spanish were the first Europeans to use enslaved Africans in America on islands such as Cuba and Hispaniola,[92] where the alarming death rate in the native population had spurred the first royal laws protecting the native population (Laws of Burgos, 1512–13). The first enslaved Africans arrived in Hispaniola in 1501 soon after the Papal Bull of 1493 gave almost all of the New World to Spain.[93]
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In Igboland, for example, the Aro oracle (the Igbo religious authority) began condemning more people to slavery due to small infractions that previously probably wouldn't have been punishable by slavery, thus increasing the number of enslaved men available for purchase.[89]
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The Atlantic slave trade peaked in the late 18th century, when the largest number of people were bought or captured from West Africa and taken to the Americas.[94] The increase of demand for slaves due to the expansion of European colonial powers to the New World made the slave trade much more lucrative to the West African powers, leading to the establishment of a number of actual West African empires thriving on slave trade.
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These included the Oyo empire (Yoruba), Kong Empire, Imamate of Futa Jallon, Imamate of Futa Toro, Kingdom of Koya, Kingdom of Khasso, Kingdom of Kaabu, Fante Confederacy, Ashanti Confederacy, and the kingdom of Dahomey. These kingdoms relied on a militaristic culture of constant warfare to generate the great numbers of human captives required for trade with the Europeans.[95] It is documented in the Slave Trade Debates of England in the early 19th century: "All the old writers concur in stating not only that wars are entered into for the sole purpose of making slaves, but that they are fomented by Europeans, with a view to that object."[96] The gradual abolition of slavery in European colonial empires during the 19th century again led to the decline and collapse of these African empires. When European powers began to stop the Atlantic slave trade, this caused a further change in that large holders of slaves in Africa began to exploit enslaved people on plantations and other agricultural products.[97]
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The final major transformation of slave relationships came with the inconsistent emancipation efforts starting in the mid-19th century. As European authorities began to take over large parts of inland Africa starting in the 1870s, the colonial policies were often confusing on the issue. For example, even when slavery was deemed illegal, colonial authorities would return escaped slaves to their masters.[1] Slavery persisted in some countries under colonial rule, and in some instances it was not until independence that slavery practices were significantly transformed.[98] Anti-colonial struggles in Africa often brought slaves and former slaves together with masters and former masters to fight for independence; however, this cooperation was short-lived and following independence political parties would often form based upon the stratifications of slaves and masters.[66]
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In some parts of Africa, slavery and slavery-like practices continue to this day, particularly the illegal trafficking of women and children.[99] The problem has proven to be difficult for governments and civil society to eliminate.[100]
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Efforts by Europeans against slavery and the slave trade began in the late 18th century and had a large impact on slavery in Africa. Portugal was the first country in the continent to abolish slavery in metropolitan Portugal and Portuguese India by a bill issued on 12 February 1761, but this did not affect their colonies of Brazil and Portuguese Africa. France abolished slavery in 1794. However, slavery was again allowed by Napoleon in 1802 and not abolished for good until 1848. In 1803, Denmark-Norway became the first country from Europe to implement a ban on the slave trade. Slavery itself was not banned until 1848.[101] Britain followed in 1807 with the passage of the Abolition of the Slave Trade Act by Parliament. This law allowed stiff fines, increasing with the number of slaves transported, for captains of slave ships. Britain followed this with the Slavery Abolition Act 1833 which freed all slaves in the British Empire. British pressure on other countries resulted in them agreeing to end the slave trade from Africa. For example, the 1820 U.S. Law on Slave Trade made slave trading piracy, punishable by death.[102] In addition, the Ottoman Empire abolished slave trade from Africa in 1847 under British pressure.[103]
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By 1850, the year that the last major Atlantic slave trade participant (Brazil) passed the Eusébio de Queirós Law banning the slave trade,[104] the slave trades had been significantly slowed and in general only illegal trade went on. Brazil continued the practice of slavery and was a major source for illegal trade until about 1870 and the abolition of slavery became permanent in 1888 when Princess Isabel of Brazil and Minister Rodrigo Silva (son-in-law of senator Eusebio de Queiroz) banned the practice.[66] The British took an active approach to stopping the illegal Atlantic slave trade during this period. The West Africa Squadron was credited with capturing 1,600 slave ships between 1808 and 1860, and freeing 150,000 Africans who were aboard these ships.[105] 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.
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According to Patrick Manning, internal slavery was most important to Africa in the second half of the 19th century, stating "if there is any time when one can speak of African societies being organized around a slave mode production, [1850–1900] was it". The abolition of the Atlantic slave trade resulted in the economies of African states dependent on the trade being reorganized towards domestic plantation slavery and legitimate commerce worked by slave labor. Slavery before this period was generally domestic.[66][3]
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The continuing anti-slavery movement in Europe became an excuse and a casus belli for the European conquest and colonization of much of the African continent.[77] It was the central theme of the Brussels Anti-Slavery Conference 1889-90. In the late 19th century, the Scramble for Africa saw the continent rapidly divided between imperialistic European powers, and an early but secondary focus of all colonial regimes was the suppression of slavery and the slave trade. Seymour Drescher argues that European interests in abolition were primarily motivated by economic and imperial goals.[106] Despite slavery often being a justification behind conquest, colonial regimes often ignored slavery or allowed slavery practices to continue. This was because the colonial state depended on the cooperation of indigenous political and economic structures which were heavily involved in slavery. As a result, early colonial policies usually sought to end slave trading while regulating existing slave practices and weakening the power of slave maaters.[61] Furthermore the early colonial states had weak effective control over their territories, which precluded efforts to widespread abolition. Abolition attempts became more concrete later during the colonial period.[61]
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There were many causes for the decline and abolition of slavery in Africa during the colonial period including colonial abolition policies, various economic changes, and slave resistance. The economic changes during the colonial period, including the rise of wage labor and cash crops, hastened the decline of slavery by offering new economic opportunities to slaves. The abolition of slave raiding and the end of wars between African states drastically reduced the supply of slaves. Slaves would take advantage of early colonial laws that nominally abolished slavery and would migrate away from their masters although these laws often were intended to regulate slavery more than actually abolish it. This migration led to more concrete abolition efforts by colonial governments.[61][107][1][61]
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Following conquest and abolition by the French, over a million slaves in French West Africa fled from their masters to earlier homes between 1906 and 1911.[108] In Madagascar over 500,000 slaves were freed following French abolition in 1896.[109] In response to this pressure, Ethiopia officially abolished slavery in 1932, Sokoto Caliphate abolished slavery in 1900, and the rest of the Sahel in 1911. Colonial nations were mostly successful in this aim, though slavery is still very active in Africa even though it has gradually moved to a wage economy. Independent nations attempting to westernize or impress Europe sometimes cultivated an image of slavery suppression, even as they, in the case of Egypt, hired European soldiers like Samuel White Baker's expedition up the Nile. Slavery has never been eradicated in Africa, and it commonly appears in African states, such as Chad, Ethiopia, Mali, Niger, and Sudan, in places where law and order have collapsed.[110]
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Although outlawed in all countries today, slavery is practiced in secret in many parts of the world.[111] There are an estimated 30 million victims of slavery worldwide.[112] In Mauritania alone, up to 600,000 men, women and children, or 20% of the population, are enslaved, many of them used as bonded labour.[113][114] Slavery in Mauritania was finally criminalized in August 2007.[115] During the Second Sudanese Civil War people were taken into slavery; estimates of abductions range from 14,000 to 200,000.[116] In Niger, where the practice of slavery was outlawed in 2003, a study found that almost 8% of the population are still slaves.[117][118]
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Slavery and the slave trades had a significant impact on the size of the population and the gender distribution throughout much of Africa. The precise impact of these demographic shifts has been an issue of significant debate.[119] The Atlantic slave trade took 70,000 people, primarily from the west coast of Africa, per year at its peak in the mid-1700s.[66] The Arab slave trade involved the capture of peoples from the continental interior, who were then shipped overseas through ports on the Red Sea and elsewhere.[120] It peaked at 10,000 people bartered per year in the 1600s.[66] According to Patrick Manning, there was a consistent population decrease in large parts of Sub-Saharan Africa as a result of these slave trades. This population decline throughout West Africa from 1650 until 1850 was exacerbated by the preference of slave traders for male slaves. It is important to note that this preference only existed in the transatlantic slave trade. More female slaves than male were traded across the continent of Africa.[46][66] In eastern Africa, the slave trade was multi-directional and changed over time. To meet the demand for menial labor, Zanj slaves captured from the southern interior were sold through ports on the northern seaboard in cumulatively large numbers over the centuries to customers in the Nile Valley, Horn of Africa, Arabian Peninsula, Persian Gulf, India, Far East and the Indian Ocean islands.[120]
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The extent of slavery within Africa and the trade in slaves to other regions is not known precisely. Although the Atlantic slave trade has been best studied, estimates range from 8 million people to 20 million.[121] The Trans-Atlantic Slave Trade Database estimates that the Atlantic slave trade took around 12.8 million people between 1450 and 1900.[1][122] The slave trade across the Sahara and Red Sea from the Sahara, the Horn of Africa, and East Africa, has been estimated at 6.2 million people between 600 and 1600.[1] Although the rate decreased from East Africa in the 1700s, it increased in the 1800s and is estimated at 1.65 million for that century.[1]
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Estimates by Patrick Manning are that about 12 million slaves entered the Atlantic trade between the 16th and 19th century, but about 1.5 million died on board ship.[123] About 10.5 million slaves arrived in the Americas.[123] Besides the slaves who died on the Middle Passage, more Africans likely died during the slave raids in Africa and forced marches to ports. Manning estimates that 4 million died inside Africa after capture, and many more died young.[123] Manning's estimate covers the 12 million who were originally destined for the Atlantic, as well as the 6 million destined for Asian slave markets and the 8 million destined for African markets.[123]
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The demographic effects of the slave trade are some of the most controversial and debated issues. Walter Rodney argued that the export of so many people had been a demographic disaster and had left Africa permanently disadvantaged when compared to other parts of the world, and that this largely explains that continent's continued poverty.[124] He presents numbers that show that Africa's population stagnated during this period, while that of Europe and Asia grew dramatically. According to Rodney all other areas of the economy were disrupted by the slave trade as the top merchants abandoned traditional industries to pursue slaving and the lower levels of the population were disrupted by the slaving itself.
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Others have challenged this view. J. D. Fage compared the number effect on the continent as a whole. David Eltis has compared the numbers to the rate of emigration from Europe during this period. In the 19th century alone over 50 million people left Europe for the Americas, a far higher rate than were ever taken from Africa.[125]
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Others in turn challenged that view. Joseph E. Inikori argues the history of the region shows that the effects were still quite deleterious. He argues that the African economic model of the period was very different from the European, and could not sustain such population losses. Population reductions in certain areas also led to widespread problems. Inikori also notes that after the suppression of the slave trade Africa's population almost immediately began to rapidly increase, even prior to the introduction of modern medicines.[126]
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There is a longstanding debate among analysts and scholars about the destructive impacts of the slave trades.[20] It is often claimed that the slave trade undermined local economies and political stability as villages' vital labour forces were shipped overseas as slave raids and civil wars became commonplace. With the rise of a large commercial slave trade, driven by European needs, enslaving your enemy became less a consequence of war, and more and more a reason to go to war.[127] The slave trade was claimed to have impeded the formation of larger ethnic groups, causing ethnic factionalism and weakening the formation for stable political structures in many places. It also is claimed to have reduced the mental health and social development of African people.[128]
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In contrast to these arguments, J. D. Fage asserts that slavery did not have a wholly disastrous effect on the societies of Africa.[129] Slaves were an expensive commodity, and traders received a great deal in exchange for each enslaved person. At the peak of the slave trade hundreds of thousands of muskets, vast quantities of cloth, gunpowder, and metals were being shipped to Guinea. Most of this money was spent on British-made firearms (of very poor quality) and industrial-grade alcohol. Trade with Europe at the peak of the slave trade—which also included significant exports of gold and ivory—was some 3.5 million pounds Sterling per year. By contrast, the trade of the United Kingdom, the economic superpower of the time, was about 14 million pounds per year over this same period of the late 18th century. As Patrick Manning has pointed out, the vast majority of items traded for slaves were common rather than luxury goods. Textiles, iron ore, currency, and salt were some of the most important commodities imported as a result of the slave trade, and these goods were spread within the entire society raising the general standard of living.[20]
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Although debated, it is argued that the Atlantic slave trade devastated the African economy. In 19th century Yoruba Land, economic activity was described to be at its lowest ever while life and property were being taken daily, and normal living was in jeopardy because of the fear of being kidnapped.[130] (Onwumah, Imhonopi, Adetunde,2019)
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Karl Marx in his economic history of capitalism, [Das Kapital], claimed that "...the turning of Africa into a warren for the commercial hunting of black-skins [that is, the slave trade], signalled the rosy dawn of the era of capitalist production." He argued that the slave trade was part of what he termed the "primitive accumulation" of European capital, the non-capitalist accumulation of wealth that preceded and created the financial conditions for Britain's industrialisation and the advent of the capitalist mode of production.[131]
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Eric Williams has written about the contribution of Africans on the basis of profits from the slave trade and slavery, arguing that the employment of those profits were used to help finance Britain’s industrialisation. He argues that the enslavement of Africans was an essential element to the Industrial Revolution, and that European wealth was, in part, a result of slavery, but that by the time of its abolition it had lost its profitability and it was in Britain's economic interest to ban it.[132] Joseph Inikori has written that the British slave trade was more profitable than the critics of Williams believe. Other researchers and historians have strongly contested what has come to be referred to as the "Williams thesis" in academia: David Richardson has concluded that the profits from the slave trade amounted to less than 1% of domestic investment in Britain,[133] and economic historian Stanley Engerman finds that even without subtracting the associated costs of the slave trade (e.g., shipping costs, slave mortality, mortality of whites in Africa, defense costs) or reinvestment of profits back into the slave trade, the total profits from the slave trade and of West Indian plantations amounted to less than 5% of the British economy during any year of the Industrial Revolution.[134] Historian Richard Pares, in an article written before Williams’ book, dismisses the influence of wealth generated from the West Indian plantations upon the financing of the Industrial Revolution, stating that whatever substantial flow of investment from West Indian profits into industry there was occurred after emancipation, not before.[135] Findlay and O'Rourke noted that the figures presented by O'Brien (1982) to back his claim that "the periphery was peripheral" suggest the opposite, with profits from the periphery 1784–1786 being £5.66 million when there was £10.30 million total gross investment in the British economy and similar proportions for 1824–1826. They note that dismissing the profits of the enslavement of human beings from significance because it was a "small share of national income", could be used to argue that there was no industrial revolution, since modern industry provided only a small share of national income and that it is a mistake to assume that small size is the same as small significance. Findlay and O'Rourke also note that the share of American export commodities produced by enslaved human beings, rose from 54% between 1501 and 1550 to 82.5% between 1761–1780.[136]
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Seymour Drescher and Robert Anstey argue the slave trade remained profitable until the end, because of innovations in agriculture, and that moralistic reform, not economic incentive, was primarily responsible for abolition.[137]
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A similar debate has taken place about other European nations. The French slave trade, it is argued, was more profitable than alternative domestic investments, and probably encouraged capital accumulation before the Industrial Revolution and Napoleonic Wars.[138]
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Maulana Karenga states the effects of the Atlantic slave trade in African captives: "[T]he morally monstrous destruction of human possibility involved redefining African humanity to the world, poisoning past, present and future relations with others who only know us through this stereotyping and thus damaging the truly human relations among people of today". He says that it constituted the destruction of culture, language, religion and human possibility.[139]
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The Treaty of Trianon (French: Traité de Trianon, Hungarian: Trianoni békeszerződés) was prepared at the Paris Peace Conference and was signed in the Grand Trianon Palace in Versailles on June 4, 1920. It formally ended World War I between most of the Allies of World War I[1] and the Kingdom of Hungary.[2][3][4][5] French diplomats played the major role in designing the treaty, with a mind to establishing French-led coalition of the newly formed nations. It regulated the status of the independent Hungarian state and defined its borders generally within the ceasefire lines established in November–December 1918 and left Hungary as a landlocked state that included 93,073 square kilometres (35,936 sq mi), 28% of the 325,411 square kilometres (125,642 sq mi) that had constituted the pre-war Kingdom of Hungary (the Hungarian half of the Austro-Hungarian monarchy). The new Kingdom had a population of 7.6 million, 36% compared to the pre-war kingdom's population of 20.9 million.[6] Though the areas that were allocated to neighbouring countries had a majority of non-Hungarians, in them lived 3.3 million Hungarians – 31% – who were now in a minority status.[7][8][9][10] The treaty limited Hungary's army to 35,000 officers and men, and the Austro-Hungarian Navy ceased to exist. These decisions and their consequences has been the cause of deep resentment in Hungary ever since.[11]
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The principal beneficiaries were the Kingdom of Romania, the Czechoslovak Republic, the Kingdom of Serbs, Croats and Slovenes (later Yugoslavia), and the First Austrian Republic. One of the main elements of the treaty was the doctrine of "self-determination of peoples", and it was an attempt to give the non-Hungarians their own national states.[12] In addition, Hungary had to pay war reparations to its neighbours. The treaty was dictated by the Allies rather than negotiated, and the Hungarians had no option but to accept its terms.[12] The Hungarian delegation signed the treaty under protest, and agitation for its revision began immediately.[8][13]
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The current boundaries of Hungary are the same as those defined by the Treaty of Trianon, with some minor modifications until 1924 regarding the Hungarian-Austrian border and the notable exception of three villages that were transferred to Czechoslovakia in 1947.[14][15]
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9 |
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Only one plebiscite was allowed about the disputed borders on the former territory of Kingdom of Hungary after World War I. It settled a small border dispute between Austria and Hungary in 1921, that was later known as the Sopron plebiscite. During the Sopron area plebiscite, the polling stations were supervised by army officers belonging to the Allied powers.[16]
|
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11 |
+
On 28 June 1914, the heir to the throne of Austria-Hungary, the Archduke Franz Ferdinand of Austria, was assassinated by a Serbian nationalist.[17] This caused a rapidly escalating July Crisis resulting in Austria-Hungary declaring war on Serbia, followed quickly by the entry of most European powers into the First World War.[18] Two alliances faced off, the Central Powers (led by Germany) and the Triple Entente (led by Britain, France and Russia). In 1918 Germany tried to overwhelm the Allies on the Western Front; it failed. Instead the Allies began a successful counteroffensive and forced the Armistice of 11 November 1918 that resembled a surrender by the Central Powers.[19] Irredentism--that is the demand for reunification of Hungarian peoples became a central theme of Hungarian politics and diplomacy.[20]
|
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13 |
+
On 6 April 1917, the United States entered the war against Germany, and in December 1917 against Austria-Hungary. The American war aim was end aggressive militarism as shown by Berlin and Vienna. The United States never formally joined the Allies. President Woodrow Wilson acted as an independent force and his Fourteen Points was accepted by Germany as a basis for the armistice of November 1918. It outlined a policy of free trade, open agreements, and democracy. While the term was not used self-determination was assumed. It called for a negotiated end to the war, international disarmament, the withdrawal of the Central Powers from occupied territories, the creation of a Polish state, the redrawing of Europe's borders along ethnic lines, and the formation of a League of Nations to guarantee the political independence and territorial integrity of all states.[21][22] It called for a just and democratic peace uncompromised by territorial annexation. Point ten announced Wilson's “wish” that the peoples of the Austria-Hungary be given autonomy—a point that Vienna rejected.[23]
|
14 |
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Germany, the major ally of Austria-Hungary in World War I, suffered numerous losses during Hundred Days Offensive between August and November 1918 and was in negotiation of armistice with Allied Powers from beginning of October 1918. Between 15 and 29 September 1918, Franchet d'Espèrey, in command of a large army of Greeks (9 divisions), French (6 divisions), Serbs (6 divisions), British (4 divisions) and Italians (1 division), staged a successful Vardar Offensive in Vardar Macedonia that ended by taking Bulgaria out of the war.[24] General Franchet d'Espèrey followed up the victory by overrunning much of the Balkans and by the war's end, his troops had penetrated well into Hungary. That collapse of the Southern Front was one of several developments that effectively triggered the November 1918 Armistice.[25] The political collapse of Austria-Hungary itself was now only a matter of days away. By the end of October 1918, the Austro-Hungarian Army was so fatigued that its commanders were forced to seek a ceasefire. Czechoslovakia and the State of Slovenes, Croats and Serbs were proclaimed and troops started deserting, disobeying orders and retreating. Many Czechoslovak troops, in fact, started working for the Allied Cause, and in September 1918, five Czechoslovak Regiments were formed in the Italian Army. The troops of Austria-Hungary started a chaotic withdrawal in Battle of Vittorio Veneto and Austria-Hungary began to negotiate a truce on 28 October.
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+
The Austro-Hungarian monarchy politically collapsed and disintegrated as a result of a defeat in the Italian Front (World War I). On 31 October 1918, in mid of armistice negotiations, the Aster Revolution in Budapest brought liberal Hungarian aristocrat Count Mihály Károlyi, a supporter of the Allied Powers, to power. King Charles had no other option than the appointment of Mihály Károlyi as prime minister of Hungary. During the war, Károlyi led a small but very active pacifist anti-war maverick faction in the Hungarian parliament.[26] He even organized covert contacts with British and French diplomats in Switzerland during the war.[27]. Károlyi yielded to U.S. President Woodrow Wilson's demand for pacifism by ordering the disarmament of the Hungarian army. This happened under the direction of Béla Linder, (minister of war) on 2 November, 1918[28][29] The Hungarian Royal Honvéd army still had more than 1,400,000 soldiers[30][31] when Mihály Károlyi was announced as prime minister of Hungary. Due to the full disarmament of its army, Hungary was to remain without a national defence at a time of particular vulnerability. The Hungarian self-disarmament made the occupation of Hungary directly possible for the relatively small armies of Romania, the Franco-Serbian army and the armed forces of the newly established Czechoslovakia.[citation needed] During the rule of Károlyi's pacifist cabinet, Hungary lost the control over approx. 75% of its former pre-WWI territories (325,411 km2 (125,642 sq mi)) without a fight and was subject to foreign occupation.[32]
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On the request of the Austro-Hungarian Government, an armistice was granted to Austria-Hungary on November 3, 1918 by the Allies[33]. Military and political events changed rapidly and drastically thereafter:
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The Armistice of November 3 signed with Austria-Hungary was completed as regards Hungary on 13 November, when Károlyi signed an armistice with the Allied nations in Belgrade, in order that a Treaty of Peace might be concluded.[35][36]. It limited the size of the Hungarian army to six infantry and two cavalry divisions.[37] Demarcation lines defining the territory to remain under Hungarian control were made. The lines would apply until definitive borders could be established. Under the terms of the armistice, Serbian and French troops advanced from the south, taking control of the Banat and Croatia. Czechoslovakia took control of Upper Hungary and Carpathian Ruthenia. Romanian forces were permitted to advance to the River Maros (Mureș). However, on 14 November, Serbia occupied Pécs.[38][39]
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After King Charles's withdrawal from government on 16 November 1918 made Károlyi proclaim the First Hungarian Republic, with himself as provisional president of the republic.
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24 |
+
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The Károlyi government failed to manage both domestic and military issues and lost popular support. On 20 March 1919, Béla Kun, who had been imprisoned in the Markó Street prison, was released.[40] On 21 March, he led a successful communist coup d'état; Károlyi was deposed and arrested.[41] Kun formed a social democratic, communist coalition government and proclaimed the Hungarian Soviet Republic. Days later the Communists purged the Social Democrats from the government.[42][43] The Hungarian Soviet Republic was a small communist rump state.[44] When the Republic of Councils in Hungary was established, it controlled only approximately 23 percent of the Hungary's historic territory.
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27 |
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The Communists remained bitterly unpopular[45] in the Hungarian countryside, where the authority of that government was often nonexistent.[46] The communist party and communist policies only had real popular support among the proletarian masses of large industrial centers – especially in Budapest – where the working class represented a high proportion of the inhabitants. The communist government followed the Soviet model: the party established its terror groups (like the infamous Lenin Boys) to "overcome the obstacles" in the Hungarian countryside. This was later known as the Red Terror in Hungary.
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29 |
+
In late May, after the Entente military representative demanded more territorial concessions from Hungary, Kun attempted to "fulfill" his promise to adhere to Hungary's historical borders. The men of the Hungarian Red Army were recruited mainly from the volunteers of the Budapest proletariat.[47] On 20 May 1919, a force under Colonel Aurél Stromfeld attacked and routed Czechoslovak troops from Miskolc. The Romanian Army attacked the Hungarian flank with troops from the 16th Infantry Division and the Second Vânători Division, aiming to maintain contact with the Czechoslovak Army. Hungarian troops prevailed and the Romanian Army retreated to its bridgehead at Tokaj. There, between 25–30 May, Romanian forces were required to defend their position against Hungarian attacks. On 3 June, Romania was forced into further retreat but extended its line of defence along the Tisza River and reinforced its position with the 8th Division, which had been moving forward from Bukovina since 22 May. Hungary then controlled the territory to its old borders; regained control of industrial areas around Miskolc, Salgótarján, Selmecbánya, Kassa.
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In June, the Hungarian Red Army invaded the eastern part of Upper Hungary, claimed by the newly forming Czechoslovak state. The Hungarian Red Army achieved some military success early on: under the leadership of Colonel Aurél Stromfeld, it ousted Czechoslovak troops from the north and planned to march against the Romanian Army in the east. Kun ordered the preparation of an offensive against Czechoslovakia, which would increase his domestic support by making good on his promise to restore Hungary's borders. The Hungarian Red Army recruited men between 19–25 years of age. Industrial workers from Budapest volunteered. Many former Austro-Hungarian officers re-enlisted for patriotic reasons. The Hungarian Red Army moved its 1st and 5th artillery divisions—40 battalions—to Upper Hungary.
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32 |
+
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33 |
+
Despite promises for the restoration of the former borders of Hungary, the communists declared the establishment of the Slovak Soviet Republic in Prešov (Eperjes) on 16 June 1919.[48] After the proclamation of the Slovak Soviet Republic, the Hungarian nationalists and patriots soon realized that the new communist government had no intentions to recapture the lost territories, only to spread communist ideology and establish other communist states in Europe, thus sacrificing Hungarian national interests.[49] The Hungarian patriots and professional military officers in the Red Army saw the establishment of the Slovak Soviet Republic as a betrayal, and their support for the government began to erode (the communists and their government supported the establishment of the Slovak Communist state, while the Hungarian patriots wanted to keep the reoccupied territories for Hungary). Despite a series of military victories against the Czechoslovak army, the Hungarian Red Army started to disintegrate due to tension between nationalists and communists during the establishment of the Slovak Soviet Republic. The concession eroded support of the communist government among professional military officers and nationalists in the Hungarian Red Army; even the chief of the general staff Aurél Stromfeld, resigned his post in protest.[50]
|
34 |
+
|
35 |
+
When the French promised the Hungarian government that Romanian forces would withdraw from the Tiszántúl, Kun withdrew his remaining military units who had remained loyal after the political fiasco in Upper Hungary. Kun then unsuccessfully tried to turn the remaining units of the demoralized Hungarian Red Army on the Romanians.
|
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+
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37 |
+
The Hungarian “Conditions of Peace” were dated January 15, 1920, and their “Observations” handed in on February 20. French diplomats played the major role in the drafting, and Hungarians were kept in the dark. Their long-term goal was to build a coalition of small new nations led by France and capable of standing up to Russia or Germany. This led to the "Little Entente" of Czechoslovakia, Romania and the Kingdom of Serbs, Croats and Slovenes (since 1929 Yugoslavia).[51] The lengthy negotiation process was recorded on a daily basis by János Wettstein [hu], deputy first secretary of the Hungarian delegation[52]. The treaty of peace in final form was submitted to the Hungarians on May 6 and signed by them at Trianon on June 4, 1920, entering into force on July 26, 1921.[53] The United States did not ratify the Treaty of Trianon. Instead it negotiated a separate peace treaty with Hungary in 1921 that did not contradict the terms of the Trianon treaty.[54]
|
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+
|
39 |
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The Hungarian government terminated its union with Austria on 31 October 1918, officially dissolving the Austro-Hungarian state. The de facto temporary borders of independent Hungary were defined by the ceasefire lines in November–December 1918. Compared with the pre-war Kingdom of Hungary, these temporary borders did not include:
|
40 |
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41 |
+
The territories of Banat, Bačka and Baranja (which included most of the pre-war Hungarian counties of Baranya, Bács-Bodrog, Torontál, and Temes) came under military control by the Kingdom of Serbia and political control by local South Slavs. The Great People's Assembly of Serbs, Bunjevci, and other Slavs from Banat, Bácska and Baranya declared union of this region with Serbia on 25 November 1918. The ceasefire line had the character of a temporary international border until the treaty. The central parts of Banat were later assigned to Romania, respecting the wishes of Romanians from this area, which, on 1 December 1918, were present in the National Assembly of Romanians in Alba Iulia, which voted for union with the Kingdom of Romania.
|
42 |
+
|
43 |
+
After the Romanian Army advanced beyond this cease-fire line, the Entente powers asked Hungary (Vix Note) to acknowledge the new Romanian territorial gains by a new line set along the Tisza river. Unable to reject these terms and unwilling to accept them, the leaders of the Hungarian Democratic Republic resigned and the Communists seized power. In spite of the country being under Allied blockade, the Hungarian Soviet Republic was formed and the Hungarian Red Army was rapidly set up. This army was initially successful against the Czechoslovak Legions, due to covert food[60] and arms aid from Italy.[61] This made it possible for Hungary to reach nearly the former Galician (Polish) border, thus separating the Czechoslovak and Romanian troops from each other.
|
44 |
+
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45 |
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After a Hungarian-Czechoslovak cease-fire signed on 1 July 1919, the Hungarian Red Army left parts of Slovakia by 4 July, as the Entente powers promised to invite a Hungarian delegation to the Versailles Peace Conference. In the end, this particular invitation was not issued. Béla Kun, leader of the Hungarian Soviet Republic, then turned the Hungarian Red Army on the Romanian Army and attacked at the Tisza river on 20 July 1919. After fierce fighting that lasted some five days, the Hungarian Red Army collapsed. The Royal Romanian Army marched into Budapest on 4 August 1919.
|
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47 |
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The Hungarian state was restored by the Entente powers, helping Admiral Horthy into power in November 1919. On 1 December 1919, the Hungarian delegation was officially invited to the Versailles Peace Conference; however, the newly defined borders of Hungary were nearly concluded without the presence of the Hungarians.[62] During prior negotiations, the Hungarian party, along with the Austrian, advocated the American principle of self-determination: that the population of disputed territories should decide by free plebiscite to which country they wished to belong.[62][63] This view did not prevail for long, as it was disregarded by the decisive French and British delegates.[64] According to some opinions, the Allies drafted the outline of the new frontiers[65] with little or no regard to the historical, cultural, ethnic, geographic, economic and strategic aspects of the region.[62][65][66] The Allies assigned territories that were mostly populated by non-Hungarian ethnicities to successor states, but also allowed these states to absorb sizeable territories that were mainly inhabited by Hungarian-speaking populations. For instance, Romania gained all of Transylvania, which was home to 2,800,000 Romanians, but also contained a significant minority of 1,600,000 Hungarians and about 250,000 Germans.[67] The intent of the Allies was principally to strengthen these successor states at the expense of Hungary. Although the countries that were the main beneficiaries of the treaty partially noted the issues, the Hungarian delegates tried to draw attention to them. Their views were disregarded by the Allied representatives.
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Some predominantly Hungarian settlements, consisting of more than two million people, were situated in a typically 20–50 km (12–31 mi) wide strip along the new borders in foreign territory. More concentrated groups were found in Czechoslovakia (parts of southern Slovakia), Yugoslavia (parts of northern Délvidék), and Romania (parts of Transylvania).
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51 |
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The final borders of Hungary were defined by the Treaty of Trianon signed on 4 June 1920. Beside exclusion of the previously mentioned territories, they did not include:
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53 |
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By the Treaty of Trianon, the cities of Pécs, Mohács, Baja and Szigetvár, which were under Serb-Croat-Slovene administration after November 1918, were assigned to Hungary. An arbitration committee in 1920 assigned small northern parts of the former Árva and Szepes counties of the Kingdom of Hungary with Polish majority population to Poland. After 1918, Hungary did not have access to the sea, which pre-war Hungary formerly had directly through the Rijeka coastline and indirectly through Croatia-Slavonia.
|
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+
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55 |
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Representatives of small nations living in the former Austria-Hungary and active in the Congress of Oppressed Nations regarded the treaty of Trianon for being an act of historical righteousness[69] because a better future for their nations was "to be founded and durably assured on the firm basis of world democracy, real and sovereign government by the people, and a universal alliance of the nations vested with the authority of arbitration" while at the same time making a call for putting an end to "the existing unbearable domination of one nation over the other" and making it possible "for nations to organize their relations to each other on the basis of equal rights and free conventions". Furthermore, they believed the treaty would help toward a new era of dependence on international law, the fraternity of nations, equal rights, and human liberty as well as aid civilisation in the effort to free humanity from international violence.[70]
|
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|
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The last census before the Treaty of Trianon was held in 1910. This census recorded population by language and religion, but not by ethnicity. However, it is generally accepted that the largest ethnic group in the Kingdom of Hungary in this time were the Hungarians. According to the 1910 census, speakers of the Hungarian language included approximately 48% of the entire population of the kingdom, and 54% of the population of the territory referred to as "Hungary proper", i.e. excluding Croatia-Slavonia. Within the borders of "Hungary proper" numerous ethnic minorities were present: 16.1% Romanians, 10.5% Slovaks, 10.4% Germans, 2.5% Ruthenians, 2.5% Serbs and 8% others.[75] 5% of the population of "Hungary proper" were Jews, who were included in speakers of the Hungarian language.[76] The population of the autonomous Croatia-Slavonia was mostly composed of Croats and Serbs (who together counted 87% of population).
|
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|
59 |
+
The census of 1910 classified the residents of the Kingdom of Hungary by their native languages[77] and religions, so it presents the preferred language of the individual, which may or may not correspond to the individual's ethnic identity. To make the situation even more complex, in the multilingual kingdom there were territories with ethnically mixed populations where people spoke two or even three languages natively. For example, in the territory what is today Slovakia (then part of Upper Hungary) 18% of the Slovaks, 33% of the Hungarians and 65% of the Germans were bilingual. In addition, 21% of the Germans spoke both Slovak and Hungarian beside German.[78] These reasons are ground for debate about the accuracy of the census.
|
60 |
+
|
61 |
+
While several demographers (David W. Paul,[79] Peter Hanak, László Katus[80]) state that the outcome of the census is reasonably accurate (assuming that it is also properly interpreted), others believe that the 1910 census was manipulated[81][82] by exaggerating the percentage of the speakers of Hungarian, pointing to the discrepancy between an improbably high growth of the Hungarian-speaking population and the decrease of percentual participation of speakers of other languages due to Magyarization in the kingdom in the late 19th century.[83]
|
62 |
+
|
63 |
+
For example, the 1921 census in Czechoslovakia (only one year after the Treaty of Trianon) shows 21% Hungarians in Slovakia,[84] compared to 30% based on 1910 census.
|
64 |
+
|
65 |
+
Some Slovak demographers (such as Ján Svetoň [sk] and Julius Mesaros) dispute the result of every pre-war census.[79] Owen Johnson, an American historian, accepts the numbers of the earlier censuses up to the one in 1900, according to which the proportion of the Hungarians was 51.4%,[75] but he neglects the 1910 census as he thinks the changes since the last census are too big.[79] It is also argued that there were different results in previous censuses in the Kingdom of Hungary and subsequent censuses in the new states. Considering the size of discrepancies, some demographers are on the opinion that these censuses were somewhat biased in the favour of the respective ruling nation.[85]
|
66 |
+
|
67 |
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The number of non-Hungarian and Hungarian communities in the different areas based on the census data of 1910 (in this, people were not directly asked about their ethnicity, but about their native language). The present day location of each area is given in parenthesis.
|
68 |
+
|
69 |
+
According to another source, population distribution in 1910 looked as follows:
|
70 |
+
|
71 |
+
The territories of the former Hungarian Kingdom that were ceded by the treaty to neighbouring countries in total (and each of them separately) had a majority of non-Hungarian nationals; however, the Hungarian ethnic area was much larger than the newly established territory of Hungary,[87] therefore 30 percent of the ethnic Hungarians were under foreign authority.[88]
|
72 |
+
|
73 |
+
After the treaty, the percentage and the absolute number of all Hungarian populations outside of Hungary decreased in the next decades (although, some of these populations also recorded temporary increase of the absolute population number). There are several reasons for this population decrease, some of which were spontaneous assimilation and certain state policies, like Slovakization, Romanianization, Serbianisation.[citation needed] Other important factors were the Hungarian migration from the neighbouring states to Hungary or to some western countries as well as decreased birth rate of Hungarian populations. According to the National Office for Refugees, the number of Hungarians who immigrated to Hungary from neighbouring countries was about 350,000 between 1918 and 1924.[89]
|
74 |
+
|
75 |
+
On the other hand, a considerable number of other nationalities remained within the frontiers of the independent Hungary:
|
76 |
+
|
77 |
+
According to the 1920 census 10.4% of the population spoke one of the minority languages as mother language:
|
78 |
+
|
79 |
+
The percentage and the absolute number of all non-Hungarian nationalities decreased in the next decades, although the total population of the country increased. Bilingualism was also disappearing. The main reasons of this process were both spontaneous assimilation and the deliberate Magyarization policy of the state. Minorities made up 8% of the total population in 1930 and 7% in 1941 (on the post-Trianon territory).[citation needed]
|
80 |
+
|
81 |
+
After World War II approximately 200,000 Germans were deported to Germany, according to the decree of the Potsdam Conference. Under the forced exchange of population between Czechoslovakia and Hungary, approximately 73,000 Slovaks left Hungary and according to different estimations 120,500[90][91] or 45,000[92] Hungarians moved to present day Hungarian territory from Czechoslovakia. After these population movements, Hungary became a nearly ethnically homogeneous country.
|
82 |
+
|
83 |
+
Officially the treaty was intended to be a confirmation of the right of self-determination for nations and of the concept of nation-states replacing the old multinational Austro-Hungarian empire. Although the treaty addressed some nationality issues, it also sparked some new ones.[93]
|
84 |
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|
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The minority ethnic groups of the pre-war kingdom were the major beneficiaries. The Allies had explicitly committed themselves to the causes of the minority peoples of Austria-Hungary late in World War I. For all intents and purposes, the death knell of the Austro-Hungarian empire sounded on 14 October 1918, when United States Secretary of State Robert Lansing informed Austro-Hungarian Foreign Minister István Burián that autonomy for the nationalities was no longer enough. Accordingly, the Allies assumed without question that the minority ethnic groups of the pre-war kingdom wanted to leave Hungary. The Romanians joined their ethnic brethren in Romania, while the Slovaks, Serbs and Croats helped establish nation-states of their own (Czechoslovakia and Yugoslavia). However, these new or enlarged countries also absorbed large slices of territory with a majority of ethnic Hungarians or Hungarian speaking population. As a result, as many as a third of Hungarian language-speakers found themselves outside the borders of the post-Trianon Hungary.[94]
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While the territories that were now outside Hungary's borders had non-Hungarian majorities overall, there also existed some sizeable areas with a majority of Hungarians, largely near the newly defined borders. Over the last century, concerns have occasionally been raised about the treatment of these ethnic Hungarian communities in the neighbouring states.[95][96][97] Areas with significant Hungarian populations included the Székely Land[98] in Eastern Transylvania, the area along the newly defined Romanian-Hungarian border (cities of Arad, Oradea), the area north of the newly defined Czechoslovakian–Hungarian border (Komárno, Csallóköz), southern parts of Subcarpathia and northern parts of Vojvodina.
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The Allies rejected the idea of plebiscites in the disputed areas with the exception of the city of Sopron, which voted in favour of Hungary. The Allies were indifferent as to the exact line of the newly defined border between Austria and Hungary. Furthermore, ethnically diverse Transylvania, with an overall Romanian majority (53.8% – 1910 census data or 57.1% – 1919 census data or 57.3% – 1920 census data), was treated as a single entity at the peace negotiations and was assigned in its entirety to Romania. The option of partition along ethnic lines as an alternative was rejected.[99]
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Another reason why the victorious Allies decided to dissolve the Central-European great power, Austria-Hungary, a strong German supporter and fast developing region, was to prevent Germany from acquiring substantial influence in the future.[100] The Western powers' main priority was to prevent a resurgence of the German Reich and they therefore decided that her allies in the region, Austria and Hungary, should be "contained" by a ring of states friendly to the Allies,[citation needed] each of which would be bigger than either Austria or Hungary.[101] Compared to the Habsburg Kingdom of Hungary, post-Trianon Hungary had 60% less population and its political and economic footprint in the region was significantly reduced. Hungary lost connection to strategic military and economic infrastructure due to the concentric layout of the railway and road network, which the borders bisected. In addition, the structure of its economy collapsed, because it had relied on other parts of the pre-war Kingdom. The country also lost access to the Mediterranean and to the important sea port of Rijeka (Fiume), and became landlocked, which had a negative effect on sea trading and strategic naval operations. Furthermore, many trading routes that went through the newly defined borders from various parts of the pre-war kingdom were abandoned.
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With regard to the ethnic issues, the Western powers were aware of the problem posed by the presence of so many Hungarians (and Germans) living outside the new nation-states of Hungary and Austria. The Romanian delegation to Versailles feared in 1919 that the Allies were beginning to favour the partition of Transylvania along ethnic lines to reduce the potential exodus[citation needed] and Prime Minister Ion I. C. Brătianu even summoned British-born Queen Marie to France to strengthen their case. The Romanians had suffered a higher relative casualty rate in the war than either Britain[102][103][104] or France[103][104][105] so it was considered that the Western powers had a moral debt to repay. In absolute terms, Romanian troops had considerably fewer casualties than either Britain or France, however.[104] The underlying reason for the decision was a secret pact between The Entente and Romania.[106] In the Treaty of Bucharest (1916) Romania was promised Transylvania and some other territories to the east of river Tisza, provided that she attacked Austria-Hungary from the south-east, where defences were weak. However, after the Central Powers had noticed the military manoeuvre, the attempt was quickly choked off and Bucharest fell in the same year.
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By the time the victorious Allies arrived in France, the treaty was already settled, which made the outcome inevitable. At the heart of the dispute lay fundamentally different views on the nature of the Hungarian presence in the disputed territories. For Hungarians, the outer territories were not seen as colonial territories, but rather part of the core national territory.[107] The non-Hungarians that lived in the Pannonian Basin saw the Hungarians as colonial-style rulers who had oppressed the Slavs and Romanians since 1848, when they introduced laws that the language used in education and in local offices was to be Hungarian.[108] For non-Hungarians from the Pannonian Basin it was a process of decolonisation instead of a punitive dismemberment (as was seen by the Hungarians).[109] The Hungarians did not see it this way because the newly defined borders did not fully respect territorial distribution of ethnic groups,[110] with areas where there were Hungarian majorities[110] outside the new borders. The French sided with their allies the Romanians who had a long policy of cultural ties to France since the country broke from the Ottoman Empire (due in part to the relative ease at which Romanians could learn French)[111] although Clemenceau personally detested Bratianu.[109] President Wilson initially supported the outline of a border that would have more respect to ethnic distribution of population based on the Coolidge Report, led by A. C. Coolidge, a Harvard professor, but later gave in, due to changing international politics and as a courtesy to other allies.[112]
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For Hungarian public opinion, the fact that almost three-fourths of the pre-war kingdom's territory and a significant number of ethnic Hungarians were assigned to neighbouring countries triggered considerable bitterness. Most Hungarians preferred to maintain the territorial integrity of the pre-war kingdom. The Hungarian politicians claimed that they were ready to give the non-Hungarian ethnicities a great deal of autonomy.[113] Most Hungarians regarded the treaty as an insult to the nation's honour. The Hungarian political attitude towards Trianon was summed up in the phrases Nem, nem, soha! ("No, no, never!") and Mindent vissza! ("Return everything!" or "Everything back!").[114] The perceived humiliation of the treaty became a dominant theme in inter-war Hungarian politics, analogous with the German reaction to the Treaty of Versailles.
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By the arbitrations of Germany and Italy, Hungary expanded its borders towards neighbouring countries before and during World War II. This started by the First Vienna Award, then was continued with the dissolution of Czechoslovakia in 1939 (annexation of the remainder of Carpathian Ruthenia and a small strip from eastern Slovakia), aftrwards by the Second Vienna Award in 1940, and finally by the annexations of territories after the breakup of Yugoslavia. This territorial expansion was short-lived, since the post-war Hungarian boundaries in the Paris Peace Treaties, 1947 were nearly identical to those of 1920 (with three villages – Horvátjárfalu, Oroszvár, and Dunacsún – transferred to Czechoslovakia).[115]
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The outcome of the Treaty of Trianon is to this day remembered in Hungary as the Trianon trauma.[98] According to a study, two-thirds of Hungarians agreed in 2020 that parts of neighbouring countries should belong to them, the highest percentage of all NATO countries.[116]
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Hungary's bitter memory was also a source of regional tension after the Cold War ended in 1989.[107] Hungary attracted international media attention in 1999 for passing the "status law" concerning estimated three-million ethnic Hungarian minorities in neighbouring Romania, Slovakia, Serbia and Montenegro, Croatia, Slovenia and Ukraine. The law aimed to provide education, health benefits and employment rights to those, and was said to heal the negative effects of the disastrous 1920 Trianon Treaty.[117][118]
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The Austro-Hungarian Empire was one economic unit with autarkic characteristics[119][120] during its golden age and therefore achieved rapid growth, especially in the early 20th century when GNP grew by 1.76%.[121] (That level of growth compared very favourably to that of other European nations such as Britain (1.00%), France (1.06%), and Germany (1.51%).) There was also a division of labour present throughout the empire: that is, in the Austrian part of the Monarchy manufacturing industries were highly advanced, while in the Kingdom of Hungary an agroindustrial economy had emerged. By the late 19th century, economic growth of the eastern regions consistently surpassed that of western, thus discrepancies eventually began to diminish. The key success of fast development was specialisation of each region in fields that they were best.
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The Kingdom of Hungary was the main supplier of wheat, rye, barley and other various goods in the empire and these comprised a large portion of the empire's exports.[122] Meanwhile, the territory of present-day Czech Republic (Kingdom of Bohemia) owned 75% of the whole industrial capacity of former Austria-Hungary.[123] This shows that the various parts of the former monarchy were economically interdependent. As a further illustration of this issue, post-Trianon Hungary produced 500% more agricultural goods than it needed for itself[124] and mills around Budapest (some of the largest ones in Europe at the time) operated at 20% level. As a consequence of the treaty, all the competitive industries of the former empire were compelled to close doors, as great capacity was met by negligible demand owing to economic barriers presented in the form of the newly defined borders.
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Post-Trianon Hungary possessed 90% of the engineering and printing industry of the pre-war Kingdom, while only 11% of timber and 16% of iron was retained. In addition, 61% of arable land, 74% of public roads, 65% of canals, 62% of railroads, 64% of hard surface roads, 83% of pig iron output, 55% of industrial plants, and 67% of credit and banking institutions of the former Kingdom of Hungary lay within the territory of Hungary's neighbours.[125][126][127] New borders also bisected transport links – in the Kingdom of Hungary the road and railway network had a radial structure, with Budapest in the centre. Many roads and railways, running along the newly defined borders and interlinking radial transport lines, ended up in different, highly introvert countries. Hence, much of the rail cargo traffic of the emergent states was virtually paralysed.[128] These factors all combined created some imbalances in the now separated economic regions of the former Monarchy.
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The disseminating economic problems had been also noted in the Coolidge Report as a serious potential aftermath of the treaty.[64] This opinion was not taken into account during the negotiations. Thus, the resulting uneasiness and despondency of one part of the concerned population was later one of the main antecedents of World War II. Unemployment levels in Austria, as well as in Hungary, were dangerously high, and industrial output dropped by 65%. What happened to Austria in industry happened to Hungary in agriculture where production of grain declined by more than 70%.[129] Austria, especially the imperial capital Vienna, was a leading investor of development projects throughout the empire with more than 2.2 billion crown capital. This sum sunk to a mere 8.6 million crowns after the treaty took effect and resulted in a starving of capital in other regions of the former empire.[130]
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The disintegration of the multi-national state conversely impacted neighbouring countries, too: In Poland, Romania, Yugoslavia, and Bulgaria a fifth to a third of the rural population could find no work, and industry was in no position to absorb them.
|
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In comparison, by 1921 the new Czechoslovak state reached 75% of its pre-war production owing to their favourable position among the victors, and greater associated access to international rehabilitation resources.[131]
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With the creation of customs barriers and fragmented protective economies, the economic growth and outlook in the region sharply declined,[132] ultimately culminating in a deep recession. It proved to be immensely challenging for the successor states to successfully transform their economies to adapt to the new circumstances. All the formal districts of Austria-Hungary used to rely on each other's exports for growth and welfare; by contrast, 5 years after the treaty, traffic of goods between the countries dropped to less than 5% of its former value. This could be attributed to the introduction of aggressive nationalistic policies by local political leaders.[133]
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The drastic shift in economic climate forced the countries to re-evaluate their situation and to promote industries where they had fallen short. Austria and Czechoslovakia subsidised the mill, sugar and brewing industries, while Hungary attempted to increase the efficiency of iron, steel, glass and chemical industries.[119][134] The stated objective was that all countries should become self-sufficient. This tendency, however, led to uniform economies and competitive economic advantage of long well-established industries and research fields evaporated. The lack of specialisation adversely affected the whole Danube-Carpathian region and caused a distinct setback of growth and development compared to the West as well as high financial vulnerability and instability.[135][136]
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Romania, Yugoslavia and Czechoslovakia had to assume part of the financial obligations of the former Kingdom of Hungary on account of the parts of its former territory that were assigned under their sovereignty.
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Some conditions of the Treaty were similar to those imposed on Germany by the Treaty of Versailles. After the war, the Austro-Hungarian navy, air force and army were disbanded. The army of post-Trianon Hungary was to be restricted to 35,000 men and there was to be no conscription. Heavy artillery, tanks and air force were prohibited.[127] Further provisions stated that in Hungary, no railway would be built with more than one track, because at that time railways held substantial strategic importance economically and militarily.[137]
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Hungary also renounced all privileges in territories outside Europe that were administered by the former Austro-Hungarian monarchy.
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Articles 54–60 of the Treaty required Hungary to recognise various rights of national minorities within its borders.[138]
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Articles 61–66 stated that all former citizens of the Kingdom of Hungary living outside the newly defined frontiers of Hungary were to ipso facto lose their Hungarian nationality in one year.[139]
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Basketball is a team sport in which two teams, most commonly of five players each, opposing one another on a rectangular court, compete with the primary objective of shooting a basketball (approximately 9.4 inches (24 cm) in diameter) through the defender's hoop (a basket 18 inches (46 cm) in diameter mounted 10 feet (3.048 m) high to a backboard at each end of the court) while preventing the opposing team from shooting through their own hoop. A field goal is worth two points, unless made from behind the three-point line, when it is worth three. After a foul, timed play stops and the player fouled or designated to shoot a technical foul is given one or more one-point free throws. The team with the most points at the end of the game wins, but if regulation play expires with the score tied, an additional period of play (overtime) is mandated.
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Players advance the ball by bouncing it while walking or running (dribbling) or by passing it to a teammate, both of which require considerable skill. On offense, players may use a variety of shots—the lay-up, the jump shot, or a dunk; on defense, they may steal the ball from a dribbler, intercept passes, or block shots; either offense or defense may collect a rebound, that is, a missed shot that bounces from rim or backboard. It is a violation to lift or drag one's pivot foot without dribbling the ball, to carry it, or to hold the ball with both hands then resume dribbling.
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The five players on each side fall into five playing positions. The tallest player is usually the center, the second tallest and strongest is the power forward, a slightly shorter but more agile player is the small forward, and the shortest players or the best ball handlers are the shooting guard and the point guard, who implements the coach's game plan by managing the execution of offensive and defensive plays (player positioning). Informally, players may play three-on-three, two-on-two, and one-on-one.
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Invented in 1891 by Canadian-American gym teacher James Naismith in Springfield, Massachusetts, United States, basketball has evolved to become one of the world's most popular and widely viewed sports.[1] The National Basketball Association (NBA) is the most significant professional basketball league in the world in terms of popularity, salaries, talent, and level of competition.[2][3] Outside North America, the top clubs from national leagues qualify to continental championships such as the EuroLeague and the Basketball Champions League Americas. The FIBA Basketball World Cup and Men's Olympic Basketball Tournament are the major international events of the sport and attract top national teams from around the world. Each continent hosts regional competitions for national teams, like EuroBasket and FIBA AmeriCup.
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The FIBA Women's Basketball World Cup and Women's Olympic Basketball Tournament feature top national teams from continental championships. The main North American league is the WNBA (NCAA Women's Division I Basketball Championship is also popular), whereas strongest European clubs participate in the EuroLeague Women.
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In early December 1891, Canadian James Naismith,[4] a physical education professor and instructor at the International Young Men's Christian Association Training School[5] (YMCA) (today, Springfield College) in Springfield, Massachusetts, was trying to keep his gym class active on a rainy day. He sought a vigorous indoor game to keep his students occupied and at proper levels of fitness during the long New England winters. After rejecting other ideas as either too rough or poorly suited to walled-in gymnasiums, he wrote the basic rules and nailed a peach basket onto an elevated track. In contrast with modern basketball nets, this peach basket retained its bottom, and balls had to be retrieved manually after each "basket" or point scored; this proved inefficient, however, so the bottom of the basket was removed, allowing the balls to be poked out with a long dowel each time.
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Basketball was originally played with a soccer ball. These round balls from "association football" were made, at the time, with a set of laces to close off the hole needed for inserting the inflatable bladder after the other sewn-together segments of the ball's cover had been flipped outside-in.[6][7] These laces could cause bounce passes and dribbling to be unpredictable.[8] Eventually a lace-free ball construction method was invented, and this change to the game was endorsed by Naismith. (Whereas in American football, the lace construction proved to be advantageous for gripping and remains to this day.) The first balls made specifically for basketball were brown, and it was only in the late 1950s that Tony Hinkle, searching for a ball that would be more visible to players and spectators alike, introduced the orange ball that is now in common use. Dribbling was not part of the original game except for the "bounce pass" to teammates. Passing the ball was the primary means of ball movement. Dribbling was eventually introduced but limited by the asymmetric shape of early balls.[dubious – discuss] Dribbling was common by 1896, with a rule against the double dribble by 1898.[9]
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The peach baskets were used until 1906 when they were finally replaced by metal hoops with backboards. A further change was soon made, so the ball merely passed through. Whenever a person got the ball in the basket, his team would gain a point. Whichever team got the most points won the game.[10] The baskets were originally nailed to the mezzanine balcony of the playing court, but this proved impractical when spectators in the balcony began to interfere with shots. The backboard was introduced to prevent this interference; it had the additional effect of allowing rebound shots.[11] Naismith's handwritten diaries, discovered by his granddaughter in early 2006, indicate that he was nervous about the new game he had invented, which incorporated rules from a children's game called duck on a rock, as many had failed before it.
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Frank Mahan, one of the players from the original first game, approached Naismith after the Christmas break, in early 1892, asking him what he intended to call his new game. Naismith replied that he hadn't thought of it because he had been focused on just getting the game started. Mahan suggested that it be called "Naismith ball", at which he laughed, saying that a name like that would kill any game. Mahan then said, "Why not call it basketball?" Naismith replied, "We have a basket and a ball, and it seems to me that would be a good name for it."[12][13] The first official game was played in the YMCA gymnasium in Albany, New York, on January 20, 1892, with nine players. The game ended at 1–0; the shot was made from 25 feet (7.6 m), on a court just half the size of a present-day Streetball or National Basketball Association (NBA) court.
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At the time, football was being played with 10 to a team (which was increased to 11). When winter weather got too icy to play football, teams were taken indoors, and it was convenient to have them split in half and play basketball with five on each side. By 1897–1898 teams of five became standard.
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Basketball's early adherents were dispatched to YMCAs throughout the United States, and it quickly spread through the United States and Canada. By 1895, it was well established at several women's high schools. While YMCA was responsible for initially developing and spreading the game, within a decade it discouraged the new sport, as rough play and rowdy crowds began to detract from YMCA's primary mission. However, other amateur sports clubs, colleges, and professional clubs quickly filled the void. In the years before World War I, the Amateur Athletic Union and the Intercollegiate Athletic Association of the United States (forerunner of the NCAA) vied for control over the rules for the game. The first pro league, the National Basketball League, was formed in 1898 to protect players from exploitation and to promote a less rough game. This league only lasted five years.
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James Naismith was instrumental in establishing college basketball. His colleague C.O. Beamis fielded the first college basketball team just a year after the Springfield YMCA game at the suburban Pittsburgh Geneva College.[14] Naismith himself later coached at the University of Kansas for six years, before handing the reins to renowned coach Forrest "Phog" Allen. Naismith's disciple Amos Alonzo Stagg brought basketball to the University of Chicago, while Adolph Rupp, a student of Naismith's at Kansas, enjoyed great success as coach at the University of Kentucky. On February 9, 1895, the first intercollegiate 5-on-5 game was played at Hamline University between Hamline and the School of Agriculture, which was affiliated with the University of Minnesota.[15][16][17] The School of Agriculture won in a 9–3 game.
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In 1901, colleges, including the University of Chicago, Columbia University, Cornell University, Dartmouth College, the University of Minnesota, the U.S. Naval Academy, the University of Colorado and Yale University began sponsoring men's games. In 1905, frequent injuries on the football field prompted President Theodore Roosevelt to suggest that colleges form a governing body, resulting in the creation of the Intercollegiate Athletic Association of the United States (IAAUS). In 1910, that body would change its name to the National Collegiate Athletic Association (NCAA). The first Canadian interuniversity basketball game was played at YMCA in Kingston, Ontario on February 6, 1904, when McGill University—Naismith's alma mater—visited Queen's University. McGill won 9–7 in overtime; the score was 7–7 at the end of regulation play, and a ten-minute overtime period settled the outcome. A good turnout of spectators watched the game.[18]
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The first men's national championship tournament, the National Association of Intercollegiate Basketball tournament, which still exists as the National Association of Intercollegiate Athletics (NAIA) tournament, was organized in 1937. The first national championship for NCAA teams, the National Invitation Tournament (NIT) in New York, was organized in 1938; the NCAA national tournament would begin one year later. College basketball was rocked by gambling scandals from 1948 to 1951, when dozens of players from top teams were implicated in match fixing and point shaving. Partially spurred by an association with cheating, the NIT lost support to the NCAA tournament.
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Before widespread school district consolidation, most American high schools were far smaller than their present-day counterparts. During the first decades of the 20th century, basketball quickly became the ideal interscholastic sport due to its modest equipment and personnel requirements. In the days before widespread television coverage of professional and college sports, the popularity of high school basketball was unrivaled in many parts of America. Perhaps the most legendary of high school teams was Indiana's Franklin Wonder Five, which took the nation by storm during the 1920s, dominating Indiana basketball and earning national recognition.
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Today virtually every high school in the United States fields a basketball team in varsity competition.[19] Basketball's popularity remains high, both in rural areas where they carry the identification of the entire community, as well as at some larger schools known for their basketball teams where many players go on to participate at higher levels of competition after graduation. In the 2016–17 season, 980,673 boys and girls represented their schools in interscholastic basketball competition, according to the National Federation of State High School Associations.[20] The states of Illinois, Indiana and Kentucky are particularly well known for their residents' devotion to high school basketball, commonly called Hoosier Hysteria in Indiana; the critically acclaimed film Hoosiers shows high school basketball's depth of meaning to these communities.
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There is currently no tournament to determine a national high school champion. The most serious effort was the National Interscholastic Basketball Tournament at the University of Chicago from 1917 to 1930. The event was organized by Amos Alonzo Stagg and sent invitations to state champion teams. The tournament started out as a mostly Midwest affair but grew. In 1929 it had 29 state champions. Faced with opposition from the National Federation of State High School Associations and North Central Association of Colleges and Schools that bore a threat of the schools losing their accreditation the last tournament was in 1930. The organizations said they were concerned that the tournament was being used to recruit professional players from the prep ranks.[21] The tournament did not invite minority schools or private/parochial schools.
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The National Catholic Interscholastic Basketball Tournament ran from 1924 to 1941 at Loyola University.[22] The National Catholic Invitational Basketball Tournament from 1954 to 1978 played at a series of venues, including Catholic University, Georgetown and George Mason.[23] The National Interscholastic Basketball Tournament for Black High Schools was held from 1929 to 1942 at Hampton Institute.[24] The National Invitational Interscholastic Basketball Tournament was held from 1941 to 1967 starting out at Tuskegee Institute. Following a pause during World War II it resumed at Tennessee State College in Nashville. The basis for the champion dwindled after 1954 when Brown v. Board of Education began an integration of schools. The last tournaments were held at Alabama State College from 1964 to 1967.[25]
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Teams abounded throughout the 1920s. There were hundreds of men's professional basketball teams in towns and cities all over the United States, and little organization of the professional game. Players jumped from team to team and teams played in armories and smoky dance halls. Leagues came and went. Barnstorming squads such as the Original Celtics and two all-African American teams, the New York Renaissance Five ("Rens") and the (still existing) Harlem Globetrotters played up to two hundred games a year on their national tours.
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In 1946, the Basketball Association of America (BAA) was formed. The first game was played in Toronto, Ontario, Canada between the Toronto Huskies and New York Knickerbockers on November 1, 1946. Three seasons later, in 1949, the BAA merged with the National Basketball League (NBL) to form the National Basketball Association (NBA). By the 1950s, basketball had become a major college sport, thus paving the way for a growth of interest in professional basketball. In 1959, a basketball hall of fame was founded in Springfield, Massachusetts, site of the first game. Its rosters include the names of great players, coaches, referees and people who have contributed significantly to the development of the game. The hall of fame has people who have accomplished many goals in their career in basketball. An upstart organization, the American Basketball Association, emerged in 1967 and briefly threatened the NBA's dominance until the ABA-NBA merger in 1976. Today the NBA is the top professional basketball league in the world in terms of popularity, salaries, talent, and level of competition.
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The NBA has featured many famous players, including George Mikan, the first dominating "big man"; ball-handling wizard Bob Cousy and defensive genius Bill Russell of the Boston Celtics; charismatic center Wilt Chamberlain, who originally played for the barnstorming Harlem Globetrotters; all-around stars Oscar Robertson and Jerry West; more recent big men Kareem Abdul-Jabbar, Shaquille O'Neal, Hakeem Olajuwon and Karl Malone; playmakers John Stockton, Isiah Thomas and Steve Nash; crowd-pleasing forwards Julius Erving and Charles Barkley; European stars Dirk Nowitzki, Pau Gasol and Tony Parker; more recent superstars LeBron James, Allen Iverson and Kobe Bryant; and the three players who many credit with ushering the professional game to its highest level of popularity during the 1980s and 1990s: Larry Bird, Earvin "Magic" Johnson, and Michael Jordan.
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In 2001, the NBA formed a developmental league, the National Basketball Development League (later known as the NBA D-League and then the NBA G League after a branding deal with Gatorade). As of the 2018–19 season, the G League has 27 teams.
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FIBA (International Basketball Federation) was formed in 1932 by eight founding nations: Argentina, Czechoslovakia, Greece, Italy, Latvia, Portugal, Romania and Switzerland. At this time, the organization only oversaw amateur players. Its acronym, derived from the French Fédération Internationale de Basket-ball Amateur, was thus "FIBA". Men's basketball was first included at the Berlin 1936 Summer Olympics, although a demonstration tournament was held in 1904. The United States defeated Canada in the first final, played outdoors. This competition has usually been dominated by the United States, whose team has won all but three titles. The first of these came in a controversial final game in Munich in 1972 against the Soviet Union, in which the ending of the game was replayed three times until the Soviet Union finally came out on top.[26] In 1950 the first FIBA World Championship for men, now known as the FIBA Basketball World Cup, was held in Argentina. Three years later, the first FIBA World Championship for women, now known as the FIBA Women's Basketball World Cup, was held in Chile. Women's basketball was added to the Olympics in 1976, which were held in Montreal, Quebec, Canada with teams such as the Soviet Union, Brazil and Australia rivaling the American squads.
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In 1989, FIBA allowed professional NBA players to participate in the Olympics for the first time. Prior to the 1992 Summer Olympics, only European and South American teams were allowed to field professionals in the Olympics. The United States' dominance continued with the introduction of the original Dream Team. In the 2004 Athens Olympics, the United States suffered its first Olympic loss while using professional players, falling to Puerto Rico (in a 19-point loss) and Lithuania in group games, and being eliminated in the semifinals by Argentina. It eventually won the bronze medal defeating Lithuania, finishing behind Argentina and Italy. The Redeem Team, won gold at the 2008 Olympics, and the B-Team, won gold at the 2010 FIBA World Championship in Turkey despite featuring no players from the 2008 squad. The United States continued its dominance as they won gold at the 2012 Olympics, 2014 FIBA World Cup and the 2016 Olympics.
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Worldwide, basketball tournaments are held for boys and girls of all age levels. The global popularity of the sport is reflected in the nationalities represented in the NBA. Players from all six inhabited continents currently play in the NBA. Top international players began coming into the NBA in the mid-1990s, including Croatians Dražen Petrović and Toni Kukoč, Serbian Vlade Divac, Lithuanians Arvydas Sabonis and Šarūnas Marčiulionis, Dutchman Rik Smits and German Detlef Schrempf.
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In the Philippines, the Philippine Basketball Association's first game was played on April 9, 1975 at the Araneta Coliseum in Cubao, Quezon City. Philippines. It was founded as a "rebellion" of several teams from the now-defunct Manila Industrial and Commercial Athletic Association, which was tightly controlled by the Basketball Association of the Philippines (now defunct), the then-FIBA recognized national association. Nine teams from the MICAA participated in the league's first season that opened on April 9, 1975. The NBL is Australia's pre-eminent men's professional basketball league. The league commenced in 1979, playing a winter season (April–September) and did so until the completion of the 20th season in 1998. The 1998–99 season, which commenced only months later, was the first season after the shift to the current summer season format (October–April). This shift was an attempt to avoid competing directly against Australia's various football codes. It features 8 teams from around Australia and one in New Zealand. A few players including Luc Longley, Andrew Gaze, Shane Heal, Chris Anstey and Andrew Bogut made it big internationally, becoming poster figures for the sport in Australia. The Women's National Basketball League began in 1981.
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Women's basketball began in 1892 at Smith College when Senda Berenson, a physical education teacher, modified Naismith's rules for women. Shortly after she was hired at Smith, she went to Naismith to learn more about the game.[27] Fascinated by the new sport and the values it could teach, she organized the first women's collegiate basketball game on March 21, 1893, when her Smith freshmen and sophomores played against one another.[28] However, the first women's interinstitutional game was played in 1892 between the University of California and Miss Head's School.[29] Berenson's rules were first published in 1899, and two years later she became the editor of A. G. Spalding's first Women's Basketball Guide.[28] Berenson's freshmen played the sophomore class in the first women's intercollegiate basketball game at Smith College, March 21, 1893.[30] The same year, Mount Holyoke and Sophie Newcomb College (coached by Clara Gregory Baer) women began playing basketball. By 1895, the game had spread to colleges across the country, including Wellesley, Vassar, and Bryn Mawr. The first intercollegiate women's game was on April 4, 1896. Stanford women played Berkeley, 9-on-9, ending in a 2–1 Stanford victory.
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Women's basketball development was more structured than that for men in the early years. In 1905, the Executive Committee on Basket Ball Rules (National Women's Basketball Committee) was created by the American Physical Education Association.[31] These rules called for six to nine players per team and 11 officials. The International Women's Sports Federation (1924) included a women's basketball competition. 37 women's high school varsity basketball or state tournaments were held by 1925. And in 1926, the Amateur Athletic Union backed the first national women's basketball championship, complete with men's rules.[31] The Edmonton Grads, a touring Canadian women's team based in Edmonton, Alberta, operated between 1915 and 1940. The Grads toured all over North America, and were exceptionally successful. They posted a record of 522 wins and only 20 losses over that span, as they met any team that wanted to challenge them, funding their tours from gate receipts.[32] The Grads also shone on several exhibition trips to Europe, and won four consecutive exhibition Olympics tournaments, in 1924, 1928, 1932, and 1936; however, women's basketball was not an official Olympic sport until 1976. The Grads' players were unpaid, and had to remain single. The Grads' style focused on team play, without overly emphasizing skills of individual players. The first women's AAU All-America team was chosen in 1929.[31] Women's industrial leagues sprang up throughout the United States, producing famous athletes, including Babe Didrikson of the Golden Cyclones, and the All American Red Heads Team, which competed against men's teams, using men's rules. By 1938, the women's national championship changed from a three-court game to two-court game with six players per team.[31]
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The NBA-backed Women's National Basketball Association (WNBA) began in 1997. Though it had shaky attendance figures, several marquee players (Lisa Leslie, Diana Taurasi, and Candace Parker among others) have helped the league's popularity and level of competition. Other professional women's basketball leagues in the United States, such as the American Basketball League (1996–98), have folded in part because of the popularity of the WNBA. The WNBA has been looked at by many as a niche league. However, the league has recently taken steps forward. In June 2007, the WNBA signed a contract extension with ESPN. The new television deal ran from 2009 to 2016. Along with this deal, came the first ever rights fees to be paid to a women's professional sports league. Over the eight years of the contract, "millions and millions of dollars" were "dispersed to the league's teams." In a March 12, 2009 article, NBA commissioner David Stern said that in the bad economy, "the NBA is far less profitable than the WNBA. We're losing a lot of money among a large number of teams. We're budgeting the WNBA to break even this year."[33]
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Measurements and time limits discussed in this section often vary among tournaments and organizations; international and NBA rules are used in this section.
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The object of the game is to outscore one's opponents by throwing the ball through the opponents' basket from above while preventing the opponents from doing so on their own. An attempt to score in this way is called a shot. A successful shot is worth two points, or three points if it is taken from beyond the three-point arc 6.75 metres (22 ft 2 in) from the basket in international games[citation needed] and 23 feet 9 inches (7.24 m) in NBA games.[34] A one-point shot can be earned when shooting from the foul line after a foul is made. After a team has scored from a field goal or free throw, play is resumed with a throw-in awarded to the non-scoring team taken from a point beyond the endline of the court where the points(s) were scored.[35]
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Games are played in four quarters of 10 (FIBA)[36] or 12 minutes (NBA).[37] College men's games use two 20-minute halves,[38] college women's games use 10-minute quarters,[39] and most United States high school varsity games use 8-minute quarters; however, this varies from state to state.[40][41] 15 minutes are allowed for a half-time break under FIBA, NBA, and NCAA rules[38][42][43] and 10 minutes in United States high schools.[40] Overtime periods are five minutes in length[38][44][45] except for high school, which is four minutes in length.[40] Teams exchange baskets for the second half. The time allowed is actual playing time; the clock is stopped while the play is not active. Therefore, games generally take much longer to complete than the allotted game time, typically about two hours.
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Five players from each team may be on the court at one time.[46][47][48][49] Substitutions are unlimited but can only be done when play is stopped. Teams also have a coach, who oversees the development and strategies of the team, and other team personnel such as assistant coaches, managers, statisticians, doctors and trainers.
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For both men's and women's teams, a standard uniform consists of a pair of shorts and a jersey with a clearly visible number, unique within the team, printed on both the front and back. Players wear high-top sneakers that provide extra ankle support. Typically, team names, players' names and, outside of North America, sponsors are printed on the uniforms.
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A limited number of time-outs, clock stoppages requested by a coach (or sometimes mandated in the NBA) for a short meeting with the players, are allowed. They generally last no longer than one minute (100 seconds in the NBA) unless, for televised games, a commercial break is needed.
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The game is controlled by the officials consisting of the referee (referred to as crew chief in the NBA), one or two umpires (referred to as referees in the NBA) and the table officials. For college, the NBA, and many high schools, there are a total of three referees on the court. The table officials are responsible for keeping track of each team's scoring, timekeeping, individual and team fouls, player substitutions, team possession arrow, and the shot clock.
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The only essential equipment in a basketball game is the ball and the court: a flat, rectangular surface with baskets at opposite ends. Competitive levels require the use of more equipment such as clocks, score sheets, scoreboard(s), alternating possession arrows, and whistle-operated stop-clock systems.
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A regulation basketball court in international games is 91.9 feet (28.0 meters) long and 49.2 feet (15 meters) wide. In the NBA and NCAA the court is 94 by 50 feet (29 by 15 meters).[34] Most courts have wood flooring, usually constructed from maple planks running in the same direction as the longer court dimension.[50][51] The name and logo of the home team is usually painted on or around the center circle.
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The basket is a steel rim 18 inches (46 cm) diameter with an attached net affixed to a backboard that measures 6 by 3.5 feet (1.8 by 1.1 meters) and one basket is at each end of the court. The white outlined box on the backboard is 18 inches (46 cm) high and 2 feet (61 cm) wide. At almost all levels of competition, the top of the rim is exactly 10 feet (3.05 meters) above the court and 4 feet (1.22 meters) inside the baseline. While variation is possible in the dimensions of the court and backboard, it is considered important for the basket to be of the correct height – a rim that is off by just a few inches can have an adverse effect on shooting.
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The size of the basketball is also regulated. For men, the official ball is 29.5 inches (75 cm) in circumference (size 7, or a "295 ball") and weighs 22 oz (623.69 grams). If women are playing, the official basketball size is 28.5 inches (72 cm) in circumference (size 6, or a "285 ball") with a weight of 20 oz (567 grams). In 3x3, a formalized version of the halfcourt 3-on-3 game, a dedicated ball with the circumference of a size 6 ball but the weight of a size 7 ball is used in all competitions (men's, women's, and mixed teams).[52]
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The ball may be advanced toward the basket by being shot, passed between players, thrown, tapped, rolled or dribbled (bouncing the ball while running).
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The ball must stay within the court; the last team to touch the ball before it travels out of bounds forfeits possession. The ball is out of bounds if it touches a boundary line, or touches any player or object that is out of bounds.
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There are limits placed on the steps a player may take without dribbling, which commonly results in an infraction known as traveling. Nor may a player stop his dribble and then resume dribbling. A dribble that touches both hands is considered stopping the dribble, giving this infraction the name double dribble. Within a dribble, the player cannot carry the ball by placing his hand on the bottom of the ball; doing so is known as carrying the ball. A team, once having established ball control in the front half of their court, may not return the ball to the backcourt and be the first to touch it. A violation of these rules results in loss of possession.
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The ball may not be kicked, nor be struck with the fist. For the offense, a violation of these rules results in loss of possession; for the defense, most leagues reset the shot clock and the offensive team is given possession of the ball out of bounds.
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There are limits imposed on the time taken before progressing the ball past halfway (8 seconds in FIBA and the NBA; 10 seconds in NCAA and high school for both sexes), before attempting a shot (24 seconds in FIBA, the NBA, and U Sports (Canadian universities) play for both sexes, and 30 seconds in NCAA play for both sexes), holding the ball while closely guarded (5 seconds), and remaining in the restricted area known as the free-throw lane, (or the "key") (3 seconds). These rules are designed to promote more offense.
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Basket interference, or goaltending is a violation charged when a player illegally interferes with a shot. This violation is incurred when a player touches the ball on its downward trajectory to the basket, unless it is obvious that the ball has no chance of entering the basket, if a player touches the ball while it is in the rim, or in the area extended upwards from the basket, or if a player reaches through the basket to interfere with the shot. When a defensive player is charged with goaltending, the basket is awarded. If an offensive player commits the infraction, the basket is cancelled. In either case possession of the ball is turned over to the defensive team.
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An attempt to unfairly disadvantage an opponent through certain types of physical contact is illegal and is called a personal foul. These are most commonly committed by defensive players; however, they can be committed by offensive players as well. Players who are fouled either receive the ball to pass inbounds again, or receive one or more free throws if they are fouled in the act of shooting, depending on whether the shot was successful. One point is awarded for making a free throw, which is attempted from a line 15 feet (4.6 m) from the basket.
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The referee is responsible for judging whether contact is illegal, sometimes resulting in controversy. The calling of fouls can vary between games, leagues and referees.
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There is a second category of fouls called technical fouls, which may be charged for various rules violations including failure to properly record a player in the scorebook, or for unsportsmanlike conduct. These infractions result in one or two free throws, which may be taken by any of the five players on the court at the time. Repeated incidents can result in disqualification. A blatant foul involving physical contact that is either excessive or unnecessary is called an intentional foul (flagrant foul in the NBA). In FIBA and NCAA women's basketball, a foul resulting in ejection is called a disqualifying foul, while in leagues other than the NBA, such a foul is referred to as flagrant.
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If a team exceeds a certain limit of team fouls in a given period (quarter or half) – four for NBA, NCAA women's, and international games – the opposing team is awarded one or two free throws on all subsequent non-shooting fouls for that period, the number depending on the league. In the US college men's game and high school games for both sexes, if a team reaches 7 fouls in a half, the opposing team is awarded one free throw, along with a second shot if the first is made. This is called shooting "one-and-one". If a team exceeds 10 fouls in the half, the opposing team is awarded two free throws on all subsequent fouls for the half.
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When a team shoots foul shots, the opponents may not interfere with the shooter, nor may they try to regain possession until the last or potentially last free throw is in the air.
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After a team has committed a specified number of fouls, the other team is said to be "in the bonus". On scoreboards, this is usually signified with an indicator light reading "Bonus" or "Penalty" with an illuminated directional arrow or dot indicating that team is to receive free throws when fouled by the opposing team. (Some scoreboards also indicate the number of fouls committed.)
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If a team misses the first shot of a two-shot situation, the opposing team must wait for the completion of the second shot before attempting to reclaim possession of the ball and continuing play.
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If a player is fouled while attempting a shot and the shot is unsuccessful, the player is awarded a number of free throws equal to the value of the attempted shot. A player fouled while attempting a regular two-point shot thus receives two shots, and a player fouled while attempting a three-point shot receives three shots.
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If a player is fouled while attempting a shot and the shot is successful, typically the player will be awarded one additional free throw for one point. In combination with a regular shot, this is called a "three-point play" or "four-point play" (or more colloquially, an "and one") because of the basket made at the time of the foul (2 or 3 points) and the additional free throw (1 point).
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Although the rules do not specify any positions whatsoever, they have evolved as part of basketball. During the early years of basketball's evolution, two guards, two forwards, and one center were used. In more recent times specific positions evolved, but the current trend, advocated by many top coaches including Mike Krzyzewski is towards positionless basketball, where big guys are free to shoot from outside and dribble if their skill allows it.[53] Popular descriptions of positions include:
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Point guard (often called the "1") : usually the fastest player on the team, organizes the team's offense by controlling the ball and making sure that it gets to the right player at the right time.
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Shooting guard (the "2") : creates a high volume of shots on offense, mainly long-ranged; and guards the opponent's best perimeter player on defense.
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Small forward (the "3") : often primarily responsible for scoring points via cuts to the basket and dribble penetration; on defense seeks rebounds and steals, but sometimes plays more actively.
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Power forward (the "4"): plays offensively often with their back to the basket; on defense, plays under the basket (in a zone defense) or against the opposing power forward (in man-to-man defense).
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Center (the "5"): uses height and size to score (on offense), to protect the basket closely (on defense), or to rebound.
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The above descriptions are flexible. For most teams today, the shooting guard and small forward have very similar responsibilities and are often called the wings, as do the power forward and center, who are often called post players. While most teams describe two players as guards, two as forwards, and one as a center, on some occasions teams choose to call them by different designations.
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There are two main defensive strategies: zone defense and man-to-man defense. In a zone defense, each player is assigned to guard a specific area of the court. Zone defenses often allow the defense to double team the ball, a manoeuver known as a trap. In a man-to-man defense, each defensive player guards a specific opponent.
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Offensive plays are more varied, normally involving planned passes and movement by players without the ball. A quick movement by an offensive player without the ball to gain an advantageous position is known as a cut. A legal attempt by an offensive player to stop an opponent from guarding a teammate, by standing in the defender's way such that the teammate cuts next to him, is a screen or pick. The two plays are combined in the pick and roll, in which a player sets a pick and then "rolls" away from the pick towards the basket. Screens and cuts are very important in offensive plays; these allow the quick passes and teamwork, which can lead to a successful basket. Teams almost always have several offensive plays planned to ensure their movement is not predictable. On court, the point guard is usually responsible for indicating which play will occur.
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Shooting is the act of attempting to score points by throwing the ball through the basket, methods varying with players and situations.
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Typically, a player faces the basket with both feet facing the basket. A player will rest the ball on the fingertips of the dominant hand (the shooting arm) slightly above the head, with the other hand supporting the side of the ball. The ball is usually shot by jumping (though not always) and extending the shooting arm. The shooting arm, fully extended with the wrist fully bent, is held stationary for a moment following the release of the ball, known as a follow-through. Players often try to put a steady backspin on the ball to absorb its impact with the rim. The ideal trajectory of the shot is somewhat controversial, but generally a proper arc is recommended. Players may shoot directly into the basket or may use the backboard to redirect the ball into the basket.
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The two most common shots that use the above described setup are the set shot and the jump shot. Both are preceeded by a crouching action which preloads the muscles and increases the power of the shot. In a set shot the shooter straightens up and throws from a standing position with neither foot leaving the floor; this is typically used for free throws. For a jump shot, the throw is taken in mid-air with the ball being released near the top of the jump. This provides much greater power and range, and it also allows the player to elevate over the defender. Failure to release the ball before the feet return to the floor is considered a traveling violation.
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Another common shot is called the lay-up. This shot requires the player to be in motion toward the basket, and to "lay" the ball "up" and into the basket, typically off the backboard (the backboard-free, underhand version is called a finger roll). The most crowd-pleasing and typically highest-percentage accuracy shot is the slam dunk, in which the player jumps very high and throws the ball downward, through the basket while touching it.
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Another shot that is becoming common[citation needed] is the "circus shot". The circus shot is a low-percentage shot that is flipped, heaved, scooped, or flung toward the hoop while the shooter is off-balance, airborne, falling down, and/or facing away from the basket. A back-shot is a shot taken when the player is facing away from the basket, and may be shot with the dominant hand, or both; but there is a very low chance that the shot will be successful.
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A shot that misses both the rim and the backboard completely is referred to as an air ball. A particularly bad shot, or one that only hits the backboard, is jocularly called a brick. The hang time is the length of time a player stays in the air after jumping, either to make a slam dunk, lay-up or jump shot.
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The objective of rebounding is to successfully gain possession of the basketball after a missed field goal or free throw, as it rebounds from the hoop or backboard. This plays a major role in the game, as most possessions end when a team misses a shot. There are two categories of rebounds: offensive rebounds, in which the ball is recovered by the offensive side and does not change possession, and defensive rebounds, in which the defending team gains possession of the loose ball. The majority of rebounds are defensive, as the team on defense tends to be in better position to recover missed shots.
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A pass is a method of moving the ball between players. Most passes are accompanied by a step forward to increase power and are followed through with the hands to ensure accuracy.
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A staple pass is the chest pass. The ball is passed directly from the passer's chest to the receiver's chest. A proper chest pass involves an outward snap of the thumbs to add velocity and leaves the defence little time to react.
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Another type of pass is the bounce pass. Here, the passer bounces the ball crisply about two-thirds of the way from his own chest to the receiver. The ball strikes the court and bounces up toward the receiver. The bounce pass takes longer to complete than the chest pass, but it is also harder for the opposing team to intercept (kicking the ball deliberately is a violation). Thus, players often use the bounce pass in crowded moments, or to pass around a defender.
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The overhead pass is used to pass the ball over a defender. The ball is released while over the passer's head.
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The outlet pass occurs after a team gets a defensive rebound. The next pass after the rebound is the outlet pass.
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The crucial aspect of any good pass is it being difficult to intercept. Good passers can pass the ball with great accuracy and they know exactly where each of their other teammates prefers to receive the ball. A special way of doing this is passing the ball without looking at the receiving teammate. This is called a no-look pass.
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Another advanced style of passing is the behind-the-back pass, which, as the description implies, involves throwing the ball behind the passer's back to a teammate. Although some players can perform such a pass effectively, many coaches discourage no-look or behind-the-back passes, believing them to be difficult to control and more likely to result in turnovers or violations.
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Dribbling is the act of bouncing the ball continuously with one hand and is a requirement for a player to take steps with the ball. To dribble, a player pushes the ball down towards the ground with the fingertips rather than patting it; this ensures greater control.
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When dribbling past an opponent, the dribbler should dribble with the hand farthest from the opponent, making it more difficult for the defensive player to get to the ball. It is therefore important for a player to be able to dribble competently with both hands.
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Good dribblers (or "ball handlers") tend to bounce the ball low to the ground, reducing the distance of travel of the ball from the floor to the hand, making it more difficult for the defender to "steal" the ball. Good ball handlers frequently dribble behind their backs, between their legs, and switch directions suddenly, making a less predictable dribbling pattern that is more difficult to defend against. This is called a crossover, which is the most effective way to move past defenders while dribbling.
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A skilled player can dribble without watching the ball, using the dribbling motion or peripheral vision to keep track of the ball's location. By not having to focus on the ball, a player can look for teammates or scoring opportunities, as well as avoid the danger of having someone steal the ball away from him/her.
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A block is performed when, after a shot is attempted, a defender succeeds in altering the shot by touching the ball. In almost all variants of play, it is illegal to touch the ball after it is in the downward path of its arc; this is known as goaltending. It is also illegal under NBA and Men's NCAA basketball to block a shot after it has touched the backboard, or when any part of the ball is directly above the rim. Under international rules it is illegal to block a shot that is in the downward path of its arc or one that has touched the backboard until the ball has hit the rim. After the ball hits the rim, it is again legal to touch it even though it is no longer considered as a block performed.
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To block a shot, a player has to be able to reach a point higher than where the shot is released. Thus, height can be an advantage in blocking. Players who are taller and playing the power forward or center positions generally record more blocks than players who are shorter and playing the guard positions. However, with good timing and a sufficiently high vertical leap, even shorter players can be effective shot blockers.
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At the professional level, most male players are above 6 feet 3 inches (1.91 m) and most women above 5 feet 7 inches (1.70 m). Guards, for whom physical coordination and ball-handling skills are crucial, tend to be the smallest players. Almost all forwards in the top men's pro leagues are 6 feet 6 inches (1.98 m) or taller. Most centers are over 6 feet 10 inches (2.08 m) tall. According to a survey given to all NBA teams,[when?] the average height of all NBA players is just under 6 feet 7 inches (2.01 m), with the average weight being close to 222 pounds (101 kg). The tallest players ever in the NBA were Manute Bol and Gheorghe Mureșan, who were both 7 feet 7 inches (2.31 m) tall. At 7 feet 2 inches (2.18 m), Margo Dydek was the tallest player in the history of the WNBA.
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The shortest player ever to play in the NBA is Muggsy Bogues at 5 feet 3 inches (1.60 m).[54] Other short players have thrived at the pro level. Anthony "Spud" Webb was just 5 feet 7 inches (1.70 m) tall, but had a 42-inch (1.1 m) vertical leap, giving him significant height when jumping. While shorter players are often at a disadvantage in certain aspects of the game, their ability to navigate quickly through crowded areas of the court and steal the ball by reaching low are strengths.
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Players regularly inflate their height. Many prospects exaggerate their height while in high school or college to make themselves more appealing to coaches and scouts, who prefer taller players. Charles Barkley stated; "I've been measured at 6-5, 6-4 3⁄4. But I started in college at 6-6." Sam Smith, a former writer from The Chicago Tribune, said: "We sort of know the heights, because after camp, the sheet comes out. But you use that height, and the player gets mad. And then you hear from his agent. Or you file your story with the right height, and the copy desk changes it because they have the 'official' N.B.A. media guide, which is wrong. So you sort of go along with the joke."[55] In the NBA, there is no standard on whether a player's listed height uses their measurement with shoes on or without. The NBA Draft Combine, which most players attend before the draft, provides both measurements. Thereafter, a player's team is solely responsible for their listed height, which can vary depending on the process selected.[56][57]
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Notable players who overstated their height include:
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On rare occasions, some players will understate their actual heights, not to be repositioned. One example is Kevin Durant, whose listed height is 6 feet 9 inches (2.06 m), while his actual height is 7 feet 0 inches (2.13 m). Durant's reasoning was, "Really, that's the prototypical size for a small forward. Anything taller than that, and they'll start saying, 'Ah, he's a power forward."[62]
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Variations of basketball are activities based on the game of basketball, using common basketball skills and equipment (primarily the ball and basket). Some variations are only superficial rules changes, while others are distinct games with varying degrees of basketball influences. Other variations include children's games, contests or activities meant to help players reinforce skills.
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There are principal basketball sports with variations on basketball including Wheelchair basketball, Water basketball, Beach basketball, Slamball, Streetball and Unicycle basketball. An earlier version of basketball, played primarily by women and girls, was Six-on-six basketball. Horseball is a game played on horseback where a ball is handled and points are scored by shooting it through a high net (approximately 1.5m×1.5m). The sport is like a combination of polo, rugby, and basketball. There is even a form played on donkeys known as Donkey basketball, but that version has come under attack from animal rights groups.
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Perhaps the single most common variation of basketball is the half-court game, played in informal settings without referees or strict rules. Only one basket is used, and the ball must be "taken back" or "cleared" – passed or dribbled outside the three-point line each time possession of the ball changes from one team to the other. Half-court games require less cardiovascular stamina, since players need not run back and forth a full court. Half-court raises the number of players that can use a court or, conversely, can be played if there is an insufficient number to form full 5-on-5 teams.
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Half-court basketball is usually played 1-on-1, 2-on-2 or 3-on-3. The latter variation is gradually gaining official recognition as 3x3, originally known as FIBA 33. It was first tested at the 2007 Asian Indoor Games in Macau and the first official tournaments were held at the 2009 Asian Youth Games and the 2010 Youth Olympics, both in Singapore. The first FIBA 3x3 Youth World Championships[63] were held in Rimini, Italy in 2011, with the first FIBA 3x3 World Championships for senior teams following a year later in Athens. The sport is highly tipped to become an Olympic sport as early as 2016.[64] In the summer of 2017, the BIG3 basketball league, a professional 3x3 half court basketball league that features former NBA players, began. The BIG3 features several rule variants including a four-point field goal.[65]
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There are also other basketball sports, such as:
|
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Spin-offs from basketball that are now separate sports include:
|
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|
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Basketball has been adopted by various social groups, which have established their own environments and sometimes their own rules. Such socialized forms of basketball include the following.
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|
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Basketball is played widely casually in schools and colleges where fun, entertainment and camaraderie rule rather than winning a game.
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Disabled basketball is played by various disabled groups, such as the deaf and physically crippled people.
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Show basketball is performed by entertainment basketball show teams, the prime example being the Harlem Globetrotters. There are even specialized entertainment teams, such as teams of celebrities, people with short heights and others.
|
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|
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Fantasy basketball was popularized during the 1990s after the advent of the Internet. Those who play this game are sometimes referred to as General Managers, who draft actual NBA players and compute their basketball statistics. The game was popularized by ESPN Fantasy Sports, NBA.com, and Yahoo! Fantasy Sports. Other sports websites provided the same format keeping the game interesting with participants actually owning specific players.
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The Treaty of Trianon (French: Traité de Trianon, Hungarian: Trianoni békeszerződés) was prepared at the Paris Peace Conference and was signed in the Grand Trianon Palace in Versailles on June 4, 1920. It formally ended World War I between most of the Allies of World War I[1] and the Kingdom of Hungary.[2][3][4][5] French diplomats played the major role in designing the treaty, with a mind to establishing French-led coalition of the newly formed nations. It regulated the status of the independent Hungarian state and defined its borders generally within the ceasefire lines established in November–December 1918 and left Hungary as a landlocked state that included 93,073 square kilometres (35,936 sq mi), 28% of the 325,411 square kilometres (125,642 sq mi) that had constituted the pre-war Kingdom of Hungary (the Hungarian half of the Austro-Hungarian monarchy). The new Kingdom had a population of 7.6 million, 36% compared to the pre-war kingdom's population of 20.9 million.[6] Though the areas that were allocated to neighbouring countries had a majority of non-Hungarians, in them lived 3.3 million Hungarians – 31% – who were now in a minority status.[7][8][9][10] The treaty limited Hungary's army to 35,000 officers and men, and the Austro-Hungarian Navy ceased to exist. These decisions and their consequences has been the cause of deep resentment in Hungary ever since.[11]
|
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The principal beneficiaries were the Kingdom of Romania, the Czechoslovak Republic, the Kingdom of Serbs, Croats and Slovenes (later Yugoslavia), and the First Austrian Republic. One of the main elements of the treaty was the doctrine of "self-determination of peoples", and it was an attempt to give the non-Hungarians their own national states.[12] In addition, Hungary had to pay war reparations to its neighbours. The treaty was dictated by the Allies rather than negotiated, and the Hungarians had no option but to accept its terms.[12] The Hungarian delegation signed the treaty under protest, and agitation for its revision began immediately.[8][13]
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The current boundaries of Hungary are the same as those defined by the Treaty of Trianon, with some minor modifications until 1924 regarding the Hungarian-Austrian border and the notable exception of three villages that were transferred to Czechoslovakia in 1947.[14][15]
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Only one plebiscite was allowed about the disputed borders on the former territory of Kingdom of Hungary after World War I. It settled a small border dispute between Austria and Hungary in 1921, that was later known as the Sopron plebiscite. During the Sopron area plebiscite, the polling stations were supervised by army officers belonging to the Allied powers.[16]
|
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On 28 June 1914, the heir to the throne of Austria-Hungary, the Archduke Franz Ferdinand of Austria, was assassinated by a Serbian nationalist.[17] This caused a rapidly escalating July Crisis resulting in Austria-Hungary declaring war on Serbia, followed quickly by the entry of most European powers into the First World War.[18] Two alliances faced off, the Central Powers (led by Germany) and the Triple Entente (led by Britain, France and Russia). In 1918 Germany tried to overwhelm the Allies on the Western Front; it failed. Instead the Allies began a successful counteroffensive and forced the Armistice of 11 November 1918 that resembled a surrender by the Central Powers.[19] Irredentism--that is the demand for reunification of Hungarian peoples became a central theme of Hungarian politics and diplomacy.[20]
|
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On 6 April 1917, the United States entered the war against Germany, and in December 1917 against Austria-Hungary. The American war aim was end aggressive militarism as shown by Berlin and Vienna. The United States never formally joined the Allies. President Woodrow Wilson acted as an independent force and his Fourteen Points was accepted by Germany as a basis for the armistice of November 1918. It outlined a policy of free trade, open agreements, and democracy. While the term was not used self-determination was assumed. It called for a negotiated end to the war, international disarmament, the withdrawal of the Central Powers from occupied territories, the creation of a Polish state, the redrawing of Europe's borders along ethnic lines, and the formation of a League of Nations to guarantee the political independence and territorial integrity of all states.[21][22] It called for a just and democratic peace uncompromised by territorial annexation. Point ten announced Wilson's “wish” that the peoples of the Austria-Hungary be given autonomy—a point that Vienna rejected.[23]
|
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Germany, the major ally of Austria-Hungary in World War I, suffered numerous losses during Hundred Days Offensive between August and November 1918 and was in negotiation of armistice with Allied Powers from beginning of October 1918. Between 15 and 29 September 1918, Franchet d'Espèrey, in command of a large army of Greeks (9 divisions), French (6 divisions), Serbs (6 divisions), British (4 divisions) and Italians (1 division), staged a successful Vardar Offensive in Vardar Macedonia that ended by taking Bulgaria out of the war.[24] General Franchet d'Espèrey followed up the victory by overrunning much of the Balkans and by the war's end, his troops had penetrated well into Hungary. That collapse of the Southern Front was one of several developments that effectively triggered the November 1918 Armistice.[25] The political collapse of Austria-Hungary itself was now only a matter of days away. By the end of October 1918, the Austro-Hungarian Army was so fatigued that its commanders were forced to seek a ceasefire. Czechoslovakia and the State of Slovenes, Croats and Serbs were proclaimed and troops started deserting, disobeying orders and retreating. Many Czechoslovak troops, in fact, started working for the Allied Cause, and in September 1918, five Czechoslovak Regiments were formed in the Italian Army. The troops of Austria-Hungary started a chaotic withdrawal in Battle of Vittorio Veneto and Austria-Hungary began to negotiate a truce on 28 October.
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The Austro-Hungarian monarchy politically collapsed and disintegrated as a result of a defeat in the Italian Front (World War I). On 31 October 1918, in mid of armistice negotiations, the Aster Revolution in Budapest brought liberal Hungarian aristocrat Count Mihály Károlyi, a supporter of the Allied Powers, to power. King Charles had no other option than the appointment of Mihály Károlyi as prime minister of Hungary. During the war, Károlyi led a small but very active pacifist anti-war maverick faction in the Hungarian parliament.[26] He even organized covert contacts with British and French diplomats in Switzerland during the war.[27]. Károlyi yielded to U.S. President Woodrow Wilson's demand for pacifism by ordering the disarmament of the Hungarian army. This happened under the direction of Béla Linder, (minister of war) on 2 November, 1918[28][29] The Hungarian Royal Honvéd army still had more than 1,400,000 soldiers[30][31] when Mihály Károlyi was announced as prime minister of Hungary. Due to the full disarmament of its army, Hungary was to remain without a national defence at a time of particular vulnerability. The Hungarian self-disarmament made the occupation of Hungary directly possible for the relatively small armies of Romania, the Franco-Serbian army and the armed forces of the newly established Czechoslovakia.[citation needed] During the rule of Károlyi's pacifist cabinet, Hungary lost the control over approx. 75% of its former pre-WWI territories (325,411 km2 (125,642 sq mi)) without a fight and was subject to foreign occupation.[32]
|
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|
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On the request of the Austro-Hungarian Government, an armistice was granted to Austria-Hungary on November 3, 1918 by the Allies[33]. Military and political events changed rapidly and drastically thereafter:
|
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+
|
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+
The Armistice of November 3 signed with Austria-Hungary was completed as regards Hungary on 13 November, when Károlyi signed an armistice with the Allied nations in Belgrade, in order that a Treaty of Peace might be concluded.[35][36]. It limited the size of the Hungarian army to six infantry and two cavalry divisions.[37] Demarcation lines defining the territory to remain under Hungarian control were made. The lines would apply until definitive borders could be established. Under the terms of the armistice, Serbian and French troops advanced from the south, taking control of the Banat and Croatia. Czechoslovakia took control of Upper Hungary and Carpathian Ruthenia. Romanian forces were permitted to advance to the River Maros (Mureș). However, on 14 November, Serbia occupied Pécs.[38][39]
|
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After King Charles's withdrawal from government on 16 November 1918 made Károlyi proclaim the First Hungarian Republic, with himself as provisional president of the republic.
|
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+
The Károlyi government failed to manage both domestic and military issues and lost popular support. On 20 March 1919, Béla Kun, who had been imprisoned in the Markó Street prison, was released.[40] On 21 March, he led a successful communist coup d'état; Károlyi was deposed and arrested.[41] Kun formed a social democratic, communist coalition government and proclaimed the Hungarian Soviet Republic. Days later the Communists purged the Social Democrats from the government.[42][43] The Hungarian Soviet Republic was a small communist rump state.[44] When the Republic of Councils in Hungary was established, it controlled only approximately 23 percent of the Hungary's historic territory.
|
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The Communists remained bitterly unpopular[45] in the Hungarian countryside, where the authority of that government was often nonexistent.[46] The communist party and communist policies only had real popular support among the proletarian masses of large industrial centers – especially in Budapest – where the working class represented a high proportion of the inhabitants. The communist government followed the Soviet model: the party established its terror groups (like the infamous Lenin Boys) to "overcome the obstacles" in the Hungarian countryside. This was later known as the Red Terror in Hungary.
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In late May, after the Entente military representative demanded more territorial concessions from Hungary, Kun attempted to "fulfill" his promise to adhere to Hungary's historical borders. The men of the Hungarian Red Army were recruited mainly from the volunteers of the Budapest proletariat.[47] On 20 May 1919, a force under Colonel Aurél Stromfeld attacked and routed Czechoslovak troops from Miskolc. The Romanian Army attacked the Hungarian flank with troops from the 16th Infantry Division and the Second Vânători Division, aiming to maintain contact with the Czechoslovak Army. Hungarian troops prevailed and the Romanian Army retreated to its bridgehead at Tokaj. There, between 25–30 May, Romanian forces were required to defend their position against Hungarian attacks. On 3 June, Romania was forced into further retreat but extended its line of defence along the Tisza River and reinforced its position with the 8th Division, which had been moving forward from Bukovina since 22 May. Hungary then controlled the territory to its old borders; regained control of industrial areas around Miskolc, Salgótarján, Selmecbánya, Kassa.
|
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In June, the Hungarian Red Army invaded the eastern part of Upper Hungary, claimed by the newly forming Czechoslovak state. The Hungarian Red Army achieved some military success early on: under the leadership of Colonel Aurél Stromfeld, it ousted Czechoslovak troops from the north and planned to march against the Romanian Army in the east. Kun ordered the preparation of an offensive against Czechoslovakia, which would increase his domestic support by making good on his promise to restore Hungary's borders. The Hungarian Red Army recruited men between 19–25 years of age. Industrial workers from Budapest volunteered. Many former Austro-Hungarian officers re-enlisted for patriotic reasons. The Hungarian Red Army moved its 1st and 5th artillery divisions—40 battalions—to Upper Hungary.
|
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+
Despite promises for the restoration of the former borders of Hungary, the communists declared the establishment of the Slovak Soviet Republic in Prešov (Eperjes) on 16 June 1919.[48] After the proclamation of the Slovak Soviet Republic, the Hungarian nationalists and patriots soon realized that the new communist government had no intentions to recapture the lost territories, only to spread communist ideology and establish other communist states in Europe, thus sacrificing Hungarian national interests.[49] The Hungarian patriots and professional military officers in the Red Army saw the establishment of the Slovak Soviet Republic as a betrayal, and their support for the government began to erode (the communists and their government supported the establishment of the Slovak Communist state, while the Hungarian patriots wanted to keep the reoccupied territories for Hungary). Despite a series of military victories against the Czechoslovak army, the Hungarian Red Army started to disintegrate due to tension between nationalists and communists during the establishment of the Slovak Soviet Republic. The concession eroded support of the communist government among professional military officers and nationalists in the Hungarian Red Army; even the chief of the general staff Aurél Stromfeld, resigned his post in protest.[50]
|
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+
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+
When the French promised the Hungarian government that Romanian forces would withdraw from the Tiszántúl, Kun withdrew his remaining military units who had remained loyal after the political fiasco in Upper Hungary. Kun then unsuccessfully tried to turn the remaining units of the demoralized Hungarian Red Army on the Romanians.
|
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The Hungarian “Conditions of Peace” were dated January 15, 1920, and their “Observations” handed in on February 20. French diplomats played the major role in the drafting, and Hungarians were kept in the dark. Their long-term goal was to build a coalition of small new nations led by France and capable of standing up to Russia or Germany. This led to the "Little Entente" of Czechoslovakia, Romania and the Kingdom of Serbs, Croats and Slovenes (since 1929 Yugoslavia).[51] The lengthy negotiation process was recorded on a daily basis by János Wettstein [hu], deputy first secretary of the Hungarian delegation[52]. The treaty of peace in final form was submitted to the Hungarians on May 6 and signed by them at Trianon on June 4, 1920, entering into force on July 26, 1921.[53] The United States did not ratify the Treaty of Trianon. Instead it negotiated a separate peace treaty with Hungary in 1921 that did not contradict the terms of the Trianon treaty.[54]
|
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The Hungarian government terminated its union with Austria on 31 October 1918, officially dissolving the Austro-Hungarian state. The de facto temporary borders of independent Hungary were defined by the ceasefire lines in November–December 1918. Compared with the pre-war Kingdom of Hungary, these temporary borders did not include:
|
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+
The territories of Banat, Bačka and Baranja (which included most of the pre-war Hungarian counties of Baranya, Bács-Bodrog, Torontál, and Temes) came under military control by the Kingdom of Serbia and political control by local South Slavs. The Great People's Assembly of Serbs, Bunjevci, and other Slavs from Banat, Bácska and Baranya declared union of this region with Serbia on 25 November 1918. The ceasefire line had the character of a temporary international border until the treaty. The central parts of Banat were later assigned to Romania, respecting the wishes of Romanians from this area, which, on 1 December 1918, were present in the National Assembly of Romanians in Alba Iulia, which voted for union with the Kingdom of Romania.
|
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43 |
+
After the Romanian Army advanced beyond this cease-fire line, the Entente powers asked Hungary (Vix Note) to acknowledge the new Romanian territorial gains by a new line set along the Tisza river. Unable to reject these terms and unwilling to accept them, the leaders of the Hungarian Democratic Republic resigned and the Communists seized power. In spite of the country being under Allied blockade, the Hungarian Soviet Republic was formed and the Hungarian Red Army was rapidly set up. This army was initially successful against the Czechoslovak Legions, due to covert food[60] and arms aid from Italy.[61] This made it possible for Hungary to reach nearly the former Galician (Polish) border, thus separating the Czechoslovak and Romanian troops from each other.
|
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+
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45 |
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After a Hungarian-Czechoslovak cease-fire signed on 1 July 1919, the Hungarian Red Army left parts of Slovakia by 4 July, as the Entente powers promised to invite a Hungarian delegation to the Versailles Peace Conference. In the end, this particular invitation was not issued. Béla Kun, leader of the Hungarian Soviet Republic, then turned the Hungarian Red Army on the Romanian Army and attacked at the Tisza river on 20 July 1919. After fierce fighting that lasted some five days, the Hungarian Red Army collapsed. The Royal Romanian Army marched into Budapest on 4 August 1919.
|
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The Hungarian state was restored by the Entente powers, helping Admiral Horthy into power in November 1919. On 1 December 1919, the Hungarian delegation was officially invited to the Versailles Peace Conference; however, the newly defined borders of Hungary were nearly concluded without the presence of the Hungarians.[62] During prior negotiations, the Hungarian party, along with the Austrian, advocated the American principle of self-determination: that the population of disputed territories should decide by free plebiscite to which country they wished to belong.[62][63] This view did not prevail for long, as it was disregarded by the decisive French and British delegates.[64] According to some opinions, the Allies drafted the outline of the new frontiers[65] with little or no regard to the historical, cultural, ethnic, geographic, economic and strategic aspects of the region.[62][65][66] The Allies assigned territories that were mostly populated by non-Hungarian ethnicities to successor states, but also allowed these states to absorb sizeable territories that were mainly inhabited by Hungarian-speaking populations. For instance, Romania gained all of Transylvania, which was home to 2,800,000 Romanians, but also contained a significant minority of 1,600,000 Hungarians and about 250,000 Germans.[67] The intent of the Allies was principally to strengthen these successor states at the expense of Hungary. Although the countries that were the main beneficiaries of the treaty partially noted the issues, the Hungarian delegates tried to draw attention to them. Their views were disregarded by the Allied representatives.
|
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+
Some predominantly Hungarian settlements, consisting of more than two million people, were situated in a typically 20–50 km (12–31 mi) wide strip along the new borders in foreign territory. More concentrated groups were found in Czechoslovakia (parts of southern Slovakia), Yugoslavia (parts of northern Délvidék), and Romania (parts of Transylvania).
|
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The final borders of Hungary were defined by the Treaty of Trianon signed on 4 June 1920. Beside exclusion of the previously mentioned territories, they did not include:
|
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+
|
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By the Treaty of Trianon, the cities of Pécs, Mohács, Baja and Szigetvár, which were under Serb-Croat-Slovene administration after November 1918, were assigned to Hungary. An arbitration committee in 1920 assigned small northern parts of the former Árva and Szepes counties of the Kingdom of Hungary with Polish majority population to Poland. After 1918, Hungary did not have access to the sea, which pre-war Hungary formerly had directly through the Rijeka coastline and indirectly through Croatia-Slavonia.
|
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|
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Representatives of small nations living in the former Austria-Hungary and active in the Congress of Oppressed Nations regarded the treaty of Trianon for being an act of historical righteousness[69] because a better future for their nations was "to be founded and durably assured on the firm basis of world democracy, real and sovereign government by the people, and a universal alliance of the nations vested with the authority of arbitration" while at the same time making a call for putting an end to "the existing unbearable domination of one nation over the other" and making it possible "for nations to organize their relations to each other on the basis of equal rights and free conventions". Furthermore, they believed the treaty would help toward a new era of dependence on international law, the fraternity of nations, equal rights, and human liberty as well as aid civilisation in the effort to free humanity from international violence.[70]
|
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|
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The last census before the Treaty of Trianon was held in 1910. This census recorded population by language and religion, but not by ethnicity. However, it is generally accepted that the largest ethnic group in the Kingdom of Hungary in this time were the Hungarians. According to the 1910 census, speakers of the Hungarian language included approximately 48% of the entire population of the kingdom, and 54% of the population of the territory referred to as "Hungary proper", i.e. excluding Croatia-Slavonia. Within the borders of "Hungary proper" numerous ethnic minorities were present: 16.1% Romanians, 10.5% Slovaks, 10.4% Germans, 2.5% Ruthenians, 2.5% Serbs and 8% others.[75] 5% of the population of "Hungary proper" were Jews, who were included in speakers of the Hungarian language.[76] The population of the autonomous Croatia-Slavonia was mostly composed of Croats and Serbs (who together counted 87% of population).
|
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|
59 |
+
The census of 1910 classified the residents of the Kingdom of Hungary by their native languages[77] and religions, so it presents the preferred language of the individual, which may or may not correspond to the individual's ethnic identity. To make the situation even more complex, in the multilingual kingdom there were territories with ethnically mixed populations where people spoke two or even three languages natively. For example, in the territory what is today Slovakia (then part of Upper Hungary) 18% of the Slovaks, 33% of the Hungarians and 65% of the Germans were bilingual. In addition, 21% of the Germans spoke both Slovak and Hungarian beside German.[78] These reasons are ground for debate about the accuracy of the census.
|
60 |
+
|
61 |
+
While several demographers (David W. Paul,[79] Peter Hanak, László Katus[80]) state that the outcome of the census is reasonably accurate (assuming that it is also properly interpreted), others believe that the 1910 census was manipulated[81][82] by exaggerating the percentage of the speakers of Hungarian, pointing to the discrepancy between an improbably high growth of the Hungarian-speaking population and the decrease of percentual participation of speakers of other languages due to Magyarization in the kingdom in the late 19th century.[83]
|
62 |
+
|
63 |
+
For example, the 1921 census in Czechoslovakia (only one year after the Treaty of Trianon) shows 21% Hungarians in Slovakia,[84] compared to 30% based on 1910 census.
|
64 |
+
|
65 |
+
Some Slovak demographers (such as Ján Svetoň [sk] and Julius Mesaros) dispute the result of every pre-war census.[79] Owen Johnson, an American historian, accepts the numbers of the earlier censuses up to the one in 1900, according to which the proportion of the Hungarians was 51.4%,[75] but he neglects the 1910 census as he thinks the changes since the last census are too big.[79] It is also argued that there were different results in previous censuses in the Kingdom of Hungary and subsequent censuses in the new states. Considering the size of discrepancies, some demographers are on the opinion that these censuses were somewhat biased in the favour of the respective ruling nation.[85]
|
66 |
+
|
67 |
+
The number of non-Hungarian and Hungarian communities in the different areas based on the census data of 1910 (in this, people were not directly asked about their ethnicity, but about their native language). The present day location of each area is given in parenthesis.
|
68 |
+
|
69 |
+
According to another source, population distribution in 1910 looked as follows:
|
70 |
+
|
71 |
+
The territories of the former Hungarian Kingdom that were ceded by the treaty to neighbouring countries in total (and each of them separately) had a majority of non-Hungarian nationals; however, the Hungarian ethnic area was much larger than the newly established territory of Hungary,[87] therefore 30 percent of the ethnic Hungarians were under foreign authority.[88]
|
72 |
+
|
73 |
+
After the treaty, the percentage and the absolute number of all Hungarian populations outside of Hungary decreased in the next decades (although, some of these populations also recorded temporary increase of the absolute population number). There are several reasons for this population decrease, some of which were spontaneous assimilation and certain state policies, like Slovakization, Romanianization, Serbianisation.[citation needed] Other important factors were the Hungarian migration from the neighbouring states to Hungary or to some western countries as well as decreased birth rate of Hungarian populations. According to the National Office for Refugees, the number of Hungarians who immigrated to Hungary from neighbouring countries was about 350,000 between 1918 and 1924.[89]
|
74 |
+
|
75 |
+
On the other hand, a considerable number of other nationalities remained within the frontiers of the independent Hungary:
|
76 |
+
|
77 |
+
According to the 1920 census 10.4% of the population spoke one of the minority languages as mother language:
|
78 |
+
|
79 |
+
The percentage and the absolute number of all non-Hungarian nationalities decreased in the next decades, although the total population of the country increased. Bilingualism was also disappearing. The main reasons of this process were both spontaneous assimilation and the deliberate Magyarization policy of the state. Minorities made up 8% of the total population in 1930 and 7% in 1941 (on the post-Trianon territory).[citation needed]
|
80 |
+
|
81 |
+
After World War II approximately 200,000 Germans were deported to Germany, according to the decree of the Potsdam Conference. Under the forced exchange of population between Czechoslovakia and Hungary, approximately 73,000 Slovaks left Hungary and according to different estimations 120,500[90][91] or 45,000[92] Hungarians moved to present day Hungarian territory from Czechoslovakia. After these population movements, Hungary became a nearly ethnically homogeneous country.
|
82 |
+
|
83 |
+
Officially the treaty was intended to be a confirmation of the right of self-determination for nations and of the concept of nation-states replacing the old multinational Austro-Hungarian empire. Although the treaty addressed some nationality issues, it also sparked some new ones.[93]
|
84 |
+
|
85 |
+
The minority ethnic groups of the pre-war kingdom were the major beneficiaries. The Allies had explicitly committed themselves to the causes of the minority peoples of Austria-Hungary late in World War I. For all intents and purposes, the death knell of the Austro-Hungarian empire sounded on 14 October 1918, when United States Secretary of State Robert Lansing informed Austro-Hungarian Foreign Minister István Burián that autonomy for the nationalities was no longer enough. Accordingly, the Allies assumed without question that the minority ethnic groups of the pre-war kingdom wanted to leave Hungary. The Romanians joined their ethnic brethren in Romania, while the Slovaks, Serbs and Croats helped establish nation-states of their own (Czechoslovakia and Yugoslavia). However, these new or enlarged countries also absorbed large slices of territory with a majority of ethnic Hungarians or Hungarian speaking population. As a result, as many as a third of Hungarian language-speakers found themselves outside the borders of the post-Trianon Hungary.[94]
|
86 |
+
|
87 |
+
While the territories that were now outside Hungary's borders had non-Hungarian majorities overall, there also existed some sizeable areas with a majority of Hungarians, largely near the newly defined borders. Over the last century, concerns have occasionally been raised about the treatment of these ethnic Hungarian communities in the neighbouring states.[95][96][97] Areas with significant Hungarian populations included the Székely Land[98] in Eastern Transylvania, the area along the newly defined Romanian-Hungarian border (cities of Arad, Oradea), the area north of the newly defined Czechoslovakian–Hungarian border (Komárno, Csallóköz), southern parts of Subcarpathia and northern parts of Vojvodina.
|
88 |
+
|
89 |
+
The Allies rejected the idea of plebiscites in the disputed areas with the exception of the city of Sopron, which voted in favour of Hungary. The Allies were indifferent as to the exact line of the newly defined border between Austria and Hungary. Furthermore, ethnically diverse Transylvania, with an overall Romanian majority (53.8% – 1910 census data or 57.1% – 1919 census data or 57.3% – 1920 census data), was treated as a single entity at the peace negotiations and was assigned in its entirety to Romania. The option of partition along ethnic lines as an alternative was rejected.[99]
|
90 |
+
|
91 |
+
Another reason why the victorious Allies decided to dissolve the Central-European great power, Austria-Hungary, a strong German supporter and fast developing region, was to prevent Germany from acquiring substantial influence in the future.[100] The Western powers' main priority was to prevent a resurgence of the German Reich and they therefore decided that her allies in the region, Austria and Hungary, should be "contained" by a ring of states friendly to the Allies,[citation needed] each of which would be bigger than either Austria or Hungary.[101] Compared to the Habsburg Kingdom of Hungary, post-Trianon Hungary had 60% less population and its political and economic footprint in the region was significantly reduced. Hungary lost connection to strategic military and economic infrastructure due to the concentric layout of the railway and road network, which the borders bisected. In addition, the structure of its economy collapsed, because it had relied on other parts of the pre-war Kingdom. The country also lost access to the Mediterranean and to the important sea port of Rijeka (Fiume), and became landlocked, which had a negative effect on sea trading and strategic naval operations. Furthermore, many trading routes that went through the newly defined borders from various parts of the pre-war kingdom were abandoned.
|
92 |
+
|
93 |
+
With regard to the ethnic issues, the Western powers were aware of the problem posed by the presence of so many Hungarians (and Germans) living outside the new nation-states of Hungary and Austria. The Romanian delegation to Versailles feared in 1919 that the Allies were beginning to favour the partition of Transylvania along ethnic lines to reduce the potential exodus[citation needed] and Prime Minister Ion I. C. Brătianu even summoned British-born Queen Marie to France to strengthen their case. The Romanians had suffered a higher relative casualty rate in the war than either Britain[102][103][104] or France[103][104][105] so it was considered that the Western powers had a moral debt to repay. In absolute terms, Romanian troops had considerably fewer casualties than either Britain or France, however.[104] The underlying reason for the decision was a secret pact between The Entente and Romania.[106] In the Treaty of Bucharest (1916) Romania was promised Transylvania and some other territories to the east of river Tisza, provided that she attacked Austria-Hungary from the south-east, where defences were weak. However, after the Central Powers had noticed the military manoeuvre, the attempt was quickly choked off and Bucharest fell in the same year.
|
94 |
+
|
95 |
+
By the time the victorious Allies arrived in France, the treaty was already settled, which made the outcome inevitable. At the heart of the dispute lay fundamentally different views on the nature of the Hungarian presence in the disputed territories. For Hungarians, the outer territories were not seen as colonial territories, but rather part of the core national territory.[107] The non-Hungarians that lived in the Pannonian Basin saw the Hungarians as colonial-style rulers who had oppressed the Slavs and Romanians since 1848, when they introduced laws that the language used in education and in local offices was to be Hungarian.[108] For non-Hungarians from the Pannonian Basin it was a process of decolonisation instead of a punitive dismemberment (as was seen by the Hungarians).[109] The Hungarians did not see it this way because the newly defined borders did not fully respect territorial distribution of ethnic groups,[110] with areas where there were Hungarian majorities[110] outside the new borders. The French sided with their allies the Romanians who had a long policy of cultural ties to France since the country broke from the Ottoman Empire (due in part to the relative ease at which Romanians could learn French)[111] although Clemenceau personally detested Bratianu.[109] President Wilson initially supported the outline of a border that would have more respect to ethnic distribution of population based on the Coolidge Report, led by A. C. Coolidge, a Harvard professor, but later gave in, due to changing international politics and as a courtesy to other allies.[112]
|
96 |
+
|
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+
For Hungarian public opinion, the fact that almost three-fourths of the pre-war kingdom's territory and a significant number of ethnic Hungarians were assigned to neighbouring countries triggered considerable bitterness. Most Hungarians preferred to maintain the territorial integrity of the pre-war kingdom. The Hungarian politicians claimed that they were ready to give the non-Hungarian ethnicities a great deal of autonomy.[113] Most Hungarians regarded the treaty as an insult to the nation's honour. The Hungarian political attitude towards Trianon was summed up in the phrases Nem, nem, soha! ("No, no, never!") and Mindent vissza! ("Return everything!" or "Everything back!").[114] The perceived humiliation of the treaty became a dominant theme in inter-war Hungarian politics, analogous with the German reaction to the Treaty of Versailles.
|
98 |
+
|
99 |
+
By the arbitrations of Germany and Italy, Hungary expanded its borders towards neighbouring countries before and during World War II. This started by the First Vienna Award, then was continued with the dissolution of Czechoslovakia in 1939 (annexation of the remainder of Carpathian Ruthenia and a small strip from eastern Slovakia), aftrwards by the Second Vienna Award in 1940, and finally by the annexations of territories after the breakup of Yugoslavia. This territorial expansion was short-lived, since the post-war Hungarian boundaries in the Paris Peace Treaties, 1947 were nearly identical to those of 1920 (with three villages – Horvátjárfalu, Oroszvár, and Dunacsún – transferred to Czechoslovakia).[115]
|
100 |
+
|
101 |
+
The outcome of the Treaty of Trianon is to this day remembered in Hungary as the Trianon trauma.[98] According to a study, two-thirds of Hungarians agreed in 2020 that parts of neighbouring countries should belong to them, the highest percentage of all NATO countries.[116]
|
102 |
+
|
103 |
+
Hungary's bitter memory was also a source of regional tension after the Cold War ended in 1989.[107] Hungary attracted international media attention in 1999 for passing the "status law" concerning estimated three-million ethnic Hungarian minorities in neighbouring Romania, Slovakia, Serbia and Montenegro, Croatia, Slovenia and Ukraine. The law aimed to provide education, health benefits and employment rights to those, and was said to heal the negative effects of the disastrous 1920 Trianon Treaty.[117][118]
|
104 |
+
|
105 |
+
The Austro-Hungarian Empire was one economic unit with autarkic characteristics[119][120] during its golden age and therefore achieved rapid growth, especially in the early 20th century when GNP grew by 1.76%.[121] (That level of growth compared very favourably to that of other European nations such as Britain (1.00%), France (1.06%), and Germany (1.51%).) There was also a division of labour present throughout the empire: that is, in the Austrian part of the Monarchy manufacturing industries were highly advanced, while in the Kingdom of Hungary an agroindustrial economy had emerged. By the late 19th century, economic growth of the eastern regions consistently surpassed that of western, thus discrepancies eventually began to diminish. The key success of fast development was specialisation of each region in fields that they were best.
|
106 |
+
|
107 |
+
The Kingdom of Hungary was the main supplier of wheat, rye, barley and other various goods in the empire and these comprised a large portion of the empire's exports.[122] Meanwhile, the territory of present-day Czech Republic (Kingdom of Bohemia) owned 75% of the whole industrial capacity of former Austria-Hungary.[123] This shows that the various parts of the former monarchy were economically interdependent. As a further illustration of this issue, post-Trianon Hungary produced 500% more agricultural goods than it needed for itself[124] and mills around Budapest (some of the largest ones in Europe at the time) operated at 20% level. As a consequence of the treaty, all the competitive industries of the former empire were compelled to close doors, as great capacity was met by negligible demand owing to economic barriers presented in the form of the newly defined borders.
|
108 |
+
|
109 |
+
Post-Trianon Hungary possessed 90% of the engineering and printing industry of the pre-war Kingdom, while only 11% of timber and 16% of iron was retained. In addition, 61% of arable land, 74% of public roads, 65% of canals, 62% of railroads, 64% of hard surface roads, 83% of pig iron output, 55% of industrial plants, and 67% of credit and banking institutions of the former Kingdom of Hungary lay within the territory of Hungary's neighbours.[125][126][127] New borders also bisected transport links – in the Kingdom of Hungary the road and railway network had a radial structure, with Budapest in the centre. Many roads and railways, running along the newly defined borders and interlinking radial transport lines, ended up in different, highly introvert countries. Hence, much of the rail cargo traffic of the emergent states was virtually paralysed.[128] These factors all combined created some imbalances in the now separated economic regions of the former Monarchy.
|
110 |
+
|
111 |
+
The disseminating economic problems had been also noted in the Coolidge Report as a serious potential aftermath of the treaty.[64] This opinion was not taken into account during the negotiations. Thus, the resulting uneasiness and despondency of one part of the concerned population was later one of the main antecedents of World War II. Unemployment levels in Austria, as well as in Hungary, were dangerously high, and industrial output dropped by 65%. What happened to Austria in industry happened to Hungary in agriculture where production of grain declined by more than 70%.[129] Austria, especially the imperial capital Vienna, was a leading investor of development projects throughout the empire with more than 2.2 billion crown capital. This sum sunk to a mere 8.6 million crowns after the treaty took effect and resulted in a starving of capital in other regions of the former empire.[130]
|
112 |
+
|
113 |
+
The disintegration of the multi-national state conversely impacted neighbouring countries, too: In Poland, Romania, Yugoslavia, and Bulgaria a fifth to a third of the rural population could find no work, and industry was in no position to absorb them.
|
114 |
+
|
115 |
+
In comparison, by 1921 the new Czechoslovak state reached 75% of its pre-war production owing to their favourable position among the victors, and greater associated access to international rehabilitation resources.[131]
|
116 |
+
|
117 |
+
With the creation of customs barriers and fragmented protective economies, the economic growth and outlook in the region sharply declined,[132] ultimately culminating in a deep recession. It proved to be immensely challenging for the successor states to successfully transform their economies to adapt to the new circumstances. All the formal districts of Austria-Hungary used to rely on each other's exports for growth and welfare; by contrast, 5 years after the treaty, traffic of goods between the countries dropped to less than 5% of its former value. This could be attributed to the introduction of aggressive nationalistic policies by local political leaders.[133]
|
118 |
+
|
119 |
+
The drastic shift in economic climate forced the countries to re-evaluate their situation and to promote industries where they had fallen short. Austria and Czechoslovakia subsidised the mill, sugar and brewing industries, while Hungary attempted to increase the efficiency of iron, steel, glass and chemical industries.[119][134] The stated objective was that all countries should become self-sufficient. This tendency, however, led to uniform economies and competitive economic advantage of long well-established industries and research fields evaporated. The lack of specialisation adversely affected the whole Danube-Carpathian region and caused a distinct setback of growth and development compared to the West as well as high financial vulnerability and instability.[135][136]
|
120 |
+
|
121 |
+
Romania, Yugoslavia and Czechoslovakia had to assume part of the financial obligations of the former Kingdom of Hungary on account of the parts of its former territory that were assigned under their sovereignty.
|
122 |
+
|
123 |
+
Some conditions of the Treaty were similar to those imposed on Germany by the Treaty of Versailles. After the war, the Austro-Hungarian navy, air force and army were disbanded. The army of post-Trianon Hungary was to be restricted to 35,000 men and there was to be no conscription. Heavy artillery, tanks and air force were prohibited.[127] Further provisions stated that in Hungary, no railway would be built with more than one track, because at that time railways held substantial strategic importance economically and militarily.[137]
|
124 |
+
|
125 |
+
Hungary also renounced all privileges in territories outside Europe that were administered by the former Austro-Hungarian monarchy.
|
126 |
+
|
127 |
+
Articles 54–60 of the Treaty required Hungary to recognise various rights of national minorities within its borders.[138]
|
128 |
+
|
129 |
+
Articles 61–66 stated that all former citizens of the Kingdom of Hungary living outside the newly defined frontiers of Hungary were to ipso facto lose their Hungarian nationality in one year.[139]
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1 |
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The Treaty of Versailles (French: Traité de Versailles) was the most important of the peace treaties that brought World War I to an end. The Treaty ended the state of war between Germany and the Allied Powers. It was signed on 28 June 1919 in Versailles, exactly five years after the assassination of Archduke Franz Ferdinand, which had directly led to the war. The other Central Powers on the German side signed separate treaties.[6] Although the armistice, signed on 11 November 1918, ended the actual fighting, it took six months of Allied negotiations at the Paris Peace Conference to conclude the peace treaty. The treaty was registered by the Secretariat of the League of Nations on 21 October 1919.
|
6 |
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|
7 |
+
Of the many provisions in the treaty, one of the most important and controversial required "Germany [to] accept the responsibility of Germany and her allies for causing all the loss and damage" during the war (the other members of the Central Powers signed treaties containing similar articles). This article, Article 231, later became known as the War Guilt clause. The treaty required Germany to disarm, make ample territorial concessions, and pay reparations to certain countries that had formed the Entente powers. In 1921 the total cost of these reparations was assessed at 132 billion marks (then $31.4 billion or £6.6 billion, roughly equivalent to US$442 billion or UK£284 billion in 2020). At the time economists, notably John Maynard Keynes (a British delegate to the Paris Peace Conference), predicted that the treaty was too harsh—a "Carthaginian peace"—and said the reparations figure was excessive and counter-productive, views that, since then, have been the subject of ongoing debate by historians and economists. On the other hand, prominent figures on the Allied side, such as French Marshal Ferdinand Foch, criticized the treaty for treating Germany too leniently.
|
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+
|
9 |
+
The result of these competing and sometimes conflicting goals among the victors was a compromise that left no one satisfied, and, in particular, Germany was neither pacified nor conciliated, nor was it permanently weakened. The problems that arose from the treaty would lead to the Locarno Treaties, which improved relations between Germany and the other European powers, and the re-negotiation of the reparation system resulting in the Dawes Plan, the Young Plan, and the indefinite postponement of reparations at the Lausanne Conference of 1932. The treaty has sometimes been cited as a cause of World War II: although its actual impact was not as severe as feared, its terms led to great resentment in Germany which powered the rise of Hitler's Nazis.
|
10 |
+
|
11 |
+
Although it is often referred to as the "Versailles Conference", only the actual signing of the treaty took place at the historic palace. Most of the negotiations were in Paris, with the "Big Four" meetings taking place generally at the French Ministry of Foreign Affairs on the Quai d'Orsay.
|
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13 |
+
On 28 June 1914, the heir to the throne of Austria-Hungary, the Archduke Franz Ferdinand of Austria, was assassinated by a Serbian nationalist.[7] This caused a rapidly escalating July Crisis resulting in Austria-Hungary declaring war on Serbia, followed quickly by the entry of most European powers into the First World War.[8] Two alliances faced off, the Central Powers (led by Germany) and the Triple Entente (led by Britain, France and Russia). Other countries entered as fighting raged widely across Europe, as well as the Middle East, Africa and Asia. In 1917, two revolutions occurred within the Russian Empire. The new Bolshevik government under Vladimir Lenin in March 1918 signed the Treaty of Brest-Litovsk that was highly favourable to Germany. Sensing victory before American armies could be ready, Germany now shifted force to the Western Front and tried to overwhelm the Allies. It failed. Instead the Allies won decisively on the battlefield and forced an armistice in November 1918 that resembled a surrender.[9]
|
14 |
+
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15 |
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On 6 April 1917, the United States entered the war against the Central Powers. The motives were twofold: German submarine warfare against merchant ships trading with France and Britain, which led to the sinking of the RMS Lusitania and the loss of 128 American lives; and the interception of the German Zimmermann Telegram, urging Mexico to declare war against the United States.[10] The American war aim was to detach the war from nationalistic disputes and ambitions after the Bolshevik disclosure of secret treaties between the Allies. The existence of these treaties tended to discredit Allied claims that Germany was the sole power with aggressive ambitions.[11]
|
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+
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17 |
+
On 8 January 1918, President Woodrow Wilson issued the nation's postwar goals, the Fourteen Points. It outlined a policy of free trade, open agreements, and democracy. While the term was not used self-determination was assumed. It called for a negotiated end to the war, international disarmament, the withdrawal of the Central Powers from occupied territories, the creation of a Polish state, the redrawing of Europe's borders along ethnic lines, and the formation of a League of Nations to guarantee the political independence and territorial integrity of all states.[12][13] It called for a just and democratic peace uncompromised by territorial annexation. The Fourteen Points were based on the research of the Inquiry, a team of about 150 advisors led by foreign-policy advisor Edward M. House, into the topics likely to arise in the expected peace conference.[14]
|
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|
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After the Central Powers launched Operation Faustschlag on the Eastern Front, the new Soviet Government of Russia signed the Treaty of Brest-Litovsk with Germany on 3 March 1918.[15] This treaty ended the war between Russia and the Central powers and annexed 1,300,000 square miles (3,400,000 km2) of territory and 62 million people.[16] This loss equated to a third of the Russian population, a quarter of its territory, around a third of the country's arable land, three-quarters of its coal and iron, a third of its factories (totalling 54 percent of the nation's industrial capacity), and a quarter of its railroads.[16][17]
|
20 |
+
|
21 |
+
During the autumn of 1918, the Central Powers began to collapse.[18] Desertion rates within the German army began to increase, and civilian strikes drastically reduced war production.[19][20] On the Western Front, the Allied forces launched the Hundred Days Offensive and decisively defeated the German western armies.[21] Sailors of the Imperial German Navy at Kiel mutinied, which prompted uprisings in Germany, which became known as the German Revolution.[22][23] The German government tried to obtain a peace settlement based on the Fourteen Points, and maintained it was on this basis that they surrendered. Following negotiations, the Allied powers and Germany signed an armistice, which came into effect on 11 November while German forces were still positioned in France and Belgium.[24][25][26]
|
22 |
+
|
23 |
+
The terms of the armistice called for an immediate evacuation of German troops from occupied Belgium, France, and Luxembourg within fifteen days.[27] In addition, it established that Allied forces would occupy the Rhineland. In late 1918, Allied troops entered Germany and began the occupation.[28]
|
24 |
+
|
25 |
+
Both Germany and Great Britain were dependent on imports of food and raw materials, most of which had to be shipped across the Atlantic Ocean. The Blockade of Germany (1914–1919) was a naval operation conducted by the Allied Powers to stop the supply of raw materials and foodstuffs reaching the Central Powers. The German Kaiserliche Marine was mainly restricted to the German Bight and used commerce raiders and unrestricted submarine warfare for a counter-blockade. The German Board of Public Health in December 1918 stated that 763,000 German civilians had died during the Allied blockade, although an academic study in 1928 put the death toll at 424,000 people.[29]
|
26 |
+
|
27 |
+
Talks between the Allies to establish a common negotiating position started on 18 January 1919, in the Salle de l'Horloge at the French Foreign Ministry on the Quai d'Orsay in Paris.[30] Initially, 70 delegates from 27 nations participated in the negotiations.[31] Russia was excluded due to their signing of a separate peace (the Treaty of Brest-Litovsk) and early withdrawal from the war. Furthermore, German negotiators were excluded to deny them an opportunity to divide the Allies diplomatically.[32][33]
|
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|
29 |
+
Initially, a "Council of Ten" (comprising two delegates each from Britain, France, the United States, Italy, and Japan) met officially to decide the peace terms. This council was replaced by the "Council of Five", formed from each country's foreign ministers, to discuss minor matters. French Prime Minister Georges Clemenceau, Italian Prime Minister Vittorio Emanuele Orlando, British Prime Minister David Lloyd George, and United States President Woodrow Wilson formed the "Big Four" (at one point becoming the "Big Three" following the temporary withdrawal of Vittorio Emanuele Orlando). These four men met in 145 closed sessions to make all the major decisions, which were later ratified by the entire assembly. The minor powers attended a weekly "Plenary Conference" that discussed issues in a general forum but made no decisions. These members formed over 50 commissions that made various recommendations, many of which were incorporated into the final text of the treaty.[34][35][36]
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+
France had lost 1.3 million soldiers, including 25% of French men aged 18–30 and 400,000 civilians. France had also been more physically damaged than any other nation (the so-called zone rouge (Red Zone); the most industrialized region and the source of most coal and iron ore in the north-east had been devastated and in the final days of the war mines had been flooded and railways, bridges and factories destroyed.)[37] Clemenceau intended to ensure the security of France, by weakening Germany economically, militarily, territorially and by supplanting Germany as the leading producer of steel in Europe.[37][38][39] British economist and Versailles negotiator John Maynard Keynes summarized this position as attempting to "set the clock back and undo what, since 1870, the progress of Germany had accomplished."[40]
|
32 |
+
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33 |
+
Clemenceau told Wilson: "America is far away, protected by the ocean. Not even Napoleon himself could touch England. You are both sheltered; we are not".[41] The French wanted a frontier on the Rhine, to protect France from a German invasion and compensate for French demographic and economic inferiority.[42][43] American and British representatives refused the French claim and after two months of negotiations, the French accepted a British pledge to provide an immediate alliance with France if Germany attacked again, and Wilson agreed to put a similar proposal to the Senate. Clemenceau had told the Chamber of Deputies, in December 1918, that his goal was to maintain an alliance with both countries. Clemenceau accepted the offer, in return for an occupation of the Rhineland for fifteen years and that Germany would also demilitarise the Rhineland.[44]
|
34 |
+
|
35 |
+
French negotiators required reparations, to make Germany pay for the destruction induced throughout the war and to decrease German strength.[37] The French also wanted the iron ore and coal of the Saar Valley, by annexation to France.[45] The French were willing to accept a smaller amount of reparations than the Americans would concede and Clemenceau was willing to discuss German capacity to pay with the German delegation, before the final settlement was drafted. In April and May 1919, the French and Germans held separate talks, on mutually acceptable arrangements on issues like reparation, reconstruction and industrial collaboration. France, along with the British Dominions and Belgium, opposed mandates and favored annexation of former German colonies.[46]
|
36 |
+
|
37 |
+
Britain had suffered heavy financial costs but suffered little physical devastation during the war.[47] However, the British wartime coalition was re-elected during the so-called Coupon election at the end of 1918, with a policy of squeezing the German "'til the pips squeak".[48][49] Public opinion favoured a "just peace", which would force Germany to pay reparations and be unable to repeat the aggression of 1914, although those of a "liberal and advanced opinion" shared Wilson's ideal of a peace of reconciliation.[24]
|
38 |
+
|
39 |
+
In private Lloyd George opposed revenge and attempted to compromise between Clemenceau's demands and the Fourteen Points, because Europe would eventually have to reconcile with Germany.[50] Lloyd George wanted terms of reparation that would not cripple the German economy, so that Germany would remain a viable economic power and trading partner.[49][50][47] By arguing that British war pensions and widows' allowances should be included in the German reparation sum, Lloyd George ensured that a large amount would go to the British Empire.[51]
|
40 |
+
|
41 |
+
Lloyd George also intended to maintain a European balance of power to thwart a French attempt to establish itself as the dominant European power. A revived Germany would be a counterweight to France and a deterrent to Bolshevik Russia. Lloyd George also wanted to neutralize the German navy to keep the Royal Navy as the greatest naval power in the world; dismantle the German colonial empire with several of its territorial possessions ceded to Britain and others being established as League of Nations mandates, a position opposed by the Dominions.[50]
|
42 |
+
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43 |
+
Prior to the American entry into the war, Wilson had talked of a 'peace without victory'.[52] This position fluctuated following the US entry into the war. Wilson spoke of the German aggressors, with whom there could be no compromised peace.[53] However, on 8 January 1918, Wilson delivered a speech (known as the Fourteen Points) that declared the American peace objectives: the rebuilding of the European economy, self-determination of European and Middle Eastern ethnic groups, the promotion of free trade, the creation of appropriate mandates for former colonies, and above all, the creation of a powerful League of Nations that would ensure the peace.[54] The aim of the latter was to provide a forum to revise the peace treaties as needed, and deal with problems that arose as a result of the peace and the rise of new states.[55][50]
|
44 |
+
|
45 |
+
Wilson brought along top intellectuals as advisors to the American peace delegation, and the overall American position echoed the Fourteen Points. Wilson firmly opposed harsh treatment on Germany.[54] While the British and French wanted to largely annex the German colonial empire, Wilson saw that as a violation of the fundamental principles of justice and human rights of the native populations, and favored them having the right of self-determination via the creation of mandates. The promoted idea called for the major powers to act as disinterested trustees over a region, aiding the native populations until they could govern themselves.[56] In spite of this position and in order to ensure that Japan did not refuse to join the League of Nations, Wilson favored turning over the former German colony of Shandong, in Eastern China, to Japan rather than return the area to Chinese control.[57] Further confounding the Americans, was US internal partisan politics. In November 1918, the Republican Party won the Senate election by a slim margin. Wilson, a Democrat, refused to include prominent Republicans in the American delegation making his efforts seem partisan, and contributed to a risk of political defeat at home.[54]
|
46 |
+
|
47 |
+
Vittorio Emanuele Orlando and his foreign minister Sidney Sonnino, an Anglican of British origins, worked primarily to secure the partition of the Habsburg Empire and their attitude towards Germany was not as hostile. Generally speaking, Sonnino was in line with the British position while Orlando favored a compromise between Clemenceau and Wilson. Within the negotiations for the Treaty of Versailles, Orlando obtained certain results such as the permanent membership of Italy in the security council of the League of Nations and a promised transfer of British Jubaland and French Aozou strip to the Italian colonies of Somalia and Libya respectively. Italian nationalists, however, saw WW1 as a mutilated victory for what they considered to be little territorial gains achieved in the other treaties directly impacting Italy's borders. Orlando was ultimately forced to abandon the conference and resign. Orlando refused to see World War One as a mutilated victory, replying at nationalists calling for a greater expansion that "Italy today is a great state....on par with the great historic and contemporary states. This is, for me, our main and principal expansion." Francesco Saverio Nitti took Orlando's place in signing the treaty of Versailles.[58]
|
48 |
+
|
49 |
+
In June 1919, the Allies declared that war would resume if the German government did not sign the treaty they had agreed to among themselves. The government headed by Philipp Scheidemann was unable to agree on a common position, and Scheidemann himself resigned rather than agree to sign the treaty. Gustav Bauer, the head of the new government, sent a telegram stating his intention to sign the treaty if certain articles were withdrawn, including Articles 227, 230 and 231.[nb 1] In response, the Allies issued an ultimatum stating that Germany would have to accept the treaty or face an invasion of Allied forces across the Rhine within 24 hours. On 23 June, Bauer capitulated and sent a second telegram with a confirmation that a German delegation would arrive shortly to sign the treaty.[59] On 28 June 1919, the fifth anniversary of the assassination of Archduke Franz Ferdinand (the immediate impetus for the war), the peace treaty was signed.[2] The treaty had clauses ranging from war crimes, the prohibition on the merging of the Republic of German Austria with Germany without the consent of the League of Nations, freedom of navigation on major European rivers, to the returning of a Koran to the king of Hedjaz.[60][61][62][63]
|
50 |
+
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51 |
+
The treaty stripped Germany of 25,000 square miles (65,000 km2) of territory and 7 million people. It also required Germany to give up the gains made via the Treaty of Brest-Litovsk and grant independence to the protectorates that had been established.[17] In Western Europe Germany was required to recognize Belgian sovereignty over Moresnet and cede control of the Eupen-Malmedy area. Within six months of the transfer, Belgium was required to conduct a plebiscite on whether the citizens of the region wanted to remain under Belgian sovereignty or return to German control, communicate the results to the League of Nations and abide by the League's decision.[64] To compensate for the destruction of French coal mines, Germany was to cede the output of the Saar coalmines to France and control of the Saar to the League of Nations for 15 years; a plebiscite would then be held to decide sovereignty.[65] The treaty restored the provinces of Alsace-Lorraine to France by rescinding the treaties of Versailles and Frankfurt of 1871 as they pertained to this issue.[66] France was able to make the claim that the provinces of Alsace-Lorraine were indeed part of France and not part of Germany by disclosing a letter sent from the Prussian King to Empress Eugénie that Eugénie provided, in which William I wrote that the territories of Alsace-Lorraine were requested by Germany for the sole purpose of national defense and not to expand the German territory.[67] The sovereignty of Schleswig-Holstein was to be resolved by a plebiscite to be held at a future time (see Schleswig Plebiscites).[68]
|
52 |
+
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53 |
+
In Central Europe Germany was to recognize the independence of Czechoslovakia (which had actually been controlled by Austria) and cede parts of the province of Upper Silesia.[69] Germany had to recognize the independence of Poland and renounce "all rights and title over the territory". Portions of Upper Silesia were to be ceded to Poland, with the future of the rest of the province to be decided by plebiscite. The border would be fixed with regard to the vote and to the geographical and economic conditions of each locality.[70] The province of Posen (now Poznań), which had come under Polish control during the Greater Poland Uprising, was also to be ceded to Poland.[71]
|
54 |
+
[72] Pomerelia (Eastern Pomerania), on historical and ethnic grounds, was transferred to Poland so that the new state could have access to the sea and became known as the Polish Corridor.[73] The sovereignty of part of southern East Prussia was to be decided via plebiscite while the East Prussian Soldau area, which was astride the rail line between Warsaw and Danzig, was transferred to Poland outright without plebiscite.[74][75] An area of 51,800 square kilometres (20,000 square miles) was granted to Poland at the expense of Germany.[76] Memel was to be ceded to the Allied and Associated powers, for disposal according to their wishes.[77] Germany was to cede the city of Danzig and its hinterland, including the delta of the Vistula River on the Baltic Sea, for the League of Nations to establish the Free City of Danzig.[78]
|
55 |
+
|
56 |
+
Article 119 of the treaty required Germany to renounce sovereignty over former colonies and Article 22 converted the territories into League of Nations mandates under the control of Allied states.[79] Togoland and German Kamerun (Cameroon) were transferred to France. Ruanda and Urundi were allocated to Belgium, whereas German South-West Africa went to South Africa and Britain obtained German East Africa.[80][81][82] As compensation for the German invasion of Portuguese Africa, Portugal was granted the Kionga Triangle, a sliver of German East Africa in northern Mozambique.[83] Article 156 of the treaty transferred German concessions in Shandong, China, to Japan, not to China. Japan was granted all German possessions in the Pacific north of the equator and those south of the equator went to Australia, except for German Samoa, which was taken by New Zealand.[81][84]
|
57 |
+
|
58 |
+
The treaty was comprehensive and complex in the restrictions imposed upon the post-war German armed forces (the Reichswehr). The provisions were intended to make the Reichswehr incapable of offensive action and to encourage international disarmament.[85][86] Germany was to demobilize sufficient soldiers by 31 March 1920 to leave an army of no more than 100,000 men in a maximum of seven infantry and three cavalry divisions. The treaty laid down the organisation of the divisions and support units, and the General Staff was to be dissolved.[87] Military schools for officer training were limited to three, one school per arm, and conscription was abolished. Private soldiers and non-commissioned officers were to be retained for at least twelve years and officers for a minimum of 25 years, with former officers being forbidden to attend military exercises. To prevent Germany from building up a large cadre of trained men, the number of men allowed to leave early was limited.[88]
|
59 |
+
|
60 |
+
The number of civilian staff supporting the army was reduced and the police force was reduced to its pre-war size, with increases limited to population increases; paramilitary forces were forbidden.[89] The Rhineland was to be demilitarized, all fortifications in the Rhineland and 50 kilometres (31 miles) east of the river were to be demolished and new construction was forbidden.[90] Military structures and fortifications on the islands of Heligoland and Düne were to be destroyed.[91] Germany was prohibited from the arms trade, limits were imposed on the type and quantity of weapons and prohibited from the manufacture or stockpile of chemical weapons, armoured cars, tanks and military aircraft.[92] The German navy was allowed six pre-dreadnought battleships and was limited to a maximum of six light cruisers (not exceeding 6,000 long tons (6,100 t)), twelve destroyers (not exceeding 800 long tons (810 t)) and twelve torpedo boats (not exceeding 200 long tons (200 t)) and was forbidden submarines.[93] The manpower of the navy was not to exceed 15,000 men, including manning for the fleet, coast defences, signal stations, administration, other land services, officers and men of all grades and corps. The number of officers and warrant officers was not allowed to exceed 1,500 men.[94] Germany surrendered eight battleships, eight light cruisers, forty-two destroyers, and fifty torpedo boats for decommissioning. Thirty-two auxiliary ships were to be disarmed and converted to merchant use.[95] Article 198 prohibited Germany from having an air force, including naval air forces, and required Germany to hand over all aerial related materials. In conjunction, Germany was forbidden to manufacture or import aircraft or related material for a period of six months following the signing of the treaty.[96]
|
61 |
+
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62 |
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In Article 231 Germany accepted responsibility for the losses and damages caused by the war "as a consequence of the ... aggression of Germany and her allies."[97][nb 2] The treaty required Germany to compensate the Allied powers, and it also established an Allied "Reparation Commission" to determine the exact amount which Germany would pay and the form that such payment would take. The commission was required to "give to the German Government a just opportunity to be heard", and to submit its conclusions by 1 May 1921. In the interim, the treaty required Germany to pay an equivalent of 20 billion gold marks ($5 billion) in gold, commodities, ships, securities or other forms. The money would help to pay for Allied occupation costs and buy food and raw materials for Germany.[102][103]
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63 |
+
|
64 |
+
To ensure compliance, the Rhineland and bridgeheads east of the Rhine were to be occupied by Allied troops for fifteen years.[104] If Germany had not committed aggression, a staged withdrawal would take place; after five years, the Cologne bridgehead and the territory north of a line along the Ruhr would be evacuated. After ten years, the bridgehead at Coblenz and the territories to the north would be evacuated and after fifteen years remaining Allied forces would be withdrawn.[105] If Germany reneged on the treaty obligations, the bridgeheads would be reoccupied immediately.[106]
|
65 |
+
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66 |
+
Part I of the treaty, as per all the treaties signed during the Paris Peace Conference,[nb 3] was the Covenant of the League of Nations, which provided for the creation of the League, an organization for the arbitration of international disputes.[107] Part XIII organized the establishment of the International Labour Officer, to regulate hours of work, including a maximum working day and week; the regulation of the labour supply; the prevention of unemployment; the provision of a living wage; the protection of the worker against sickness, disease and injury arising out of his employment; the protection of children, young persons and women; provision for old age and injury; protection of the interests of workers when employed abroad; recognition of the principle of freedom of association; the organization of vocational and technical education and other measures.[108] The treaty also called for the signatories to sign or ratify the International Opium Convention.[109]
|
67 |
+
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68 |
+
The delegates of the Commonwealth and British Government had mixed thoughts on the treaty, with some seeing the French policy as being greedy and vindictive.[110][111] Lloyd George and his private secretary Philip Kerr believed in the treaty, although they also felt that the French would keep Europe in a constant state of turmoil by attempting to enforce the treaty.[110] Delegate Harold Nicolson wrote "are we making a good peace?", while General Jan Smuts (a member of the South African delegation) wrote to Lloyd-George, before the signing, that the treaty was unstable and declared "Are we in our sober senses or suffering from shellshock? What has become of Wilson's 14 points?" He wanted the Germans not be made to sign at the "point of the bayonet".[112][113] Smuts issued a statement condemning the treaty and regretting that the promises of "a new international order and a fairer, better world are not written in this treaty". Lord Robert Cecil said that many within the Foreign Office were disappointed by the treaty.[112] The treaty received widespread approval from the general public. Bernadotte Schmitt wrote that the "average Englishman ... thought Germany got only what it deserved" as a result of the treaty.[114] However, public opinion changed as German complaints mounted.[115]
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Prime Minister Ramsay MacDonald, following the German re-militarisation of the Rhineland in 1936, stated that he was "pleased" that the treaty was "vanishing", expressing his hope that the French had been taught a "severe lesson".[116]
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71 |
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The Treaty of Versailles was an important step in the status of the British Dominions under international law. Australia, Canada, New Zealand and South Africa had each made significant contributions to the British war effort, but as separate countries, rather than as British colonies. India also made a substantial troop contribution, although under direct British control, unlike the Dominions. The four Dominions and India all signed the Treaty separately from Britain,[5] a clear recognition by the international community that the Dominions were no longer British colonies. "Their status defied exact analysis by both international and constitutional lawyers, but it was clear that they were no longer regarded simply as colonies of Britain."[117] By signing the Treaty individually, the four Dominions and India also were founding members of the League of Nations in their own right, rather than simply as part of the British Empire.
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73 |
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The signing of the treaty was met with roars of approval, singing, and dancing from a crowd outside the Palace of Versailles. In Paris proper, people rejoiced at the official end of the war,[118] the return of Alsace and Lorraine to France, and that Germany had agreed to pay reparations.[119]
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While France ratified the treaty and was active in the League, the jubilant mood soon gave way to a political backlash for Clemenceau. The French Right saw the treaty as being too lenient and saw it as failing to achieve all of France's demands. Left-wing politicians attacked the treaty and Clemenceau for being too harsh (the latter turning into a ritual condemnation of the treaty, for politicians remarking on French foreign affairs, as late as August 1939). Marshal Ferdinand Foch stated "this (treaty) is not peace. It is an armistice for twenty years."; a criticism over the failure to annex the Rhineland and for compromising French security for the benefit of the United States and Britain.[120][114][115][119][121][122][123] When Clemenceau stood for election as President of France in January 1920, he was defeated.[123]
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Reaction in Italy to the treaty was extremely negative. The country had suffered high casualties, yet failed to achieve most of its major war goals, notably gaining control of the Dalmatian coast and Fiume. President Wilson rejected Italy's claims on the basis of "national self-determination." For their part, Britain and France—who had been forced in the war's latter stages to divert their own troops to the Italian front to stave off collapse—were disinclined to support Italy's position at the peace conference. Differences in negotiating strategy between Premier Vittorio Orlando and Foreign Minister Sidney Sonnino further undermined Italy's position at the conference. A furious Vittorio Orlando suffered a nervous collapse and at one point walked out of the conference (though he later returned). He lost his position as prime minister just a week before the treaty was scheduled to be signed, effectively ending his active political career. Anger and dismay over the treaty's provisions helped pave the way for the establishment of Benito Mussolini's dictatorship three years later.
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Portugal entered the war on the Allied side in 1916 primarily to ensure the security of its African colonies, which were threatened with seizure by both Britain and Germany. To this extent, she succeeded in her war aims. The treaty recognized Portuguese sovereignty over these areas and awarded her small portions of Germany's bordering overseas colonies. Otherwise, Portugal gained little at the peace conference. Her promised share of German reparations never materialized, and a seat she coveted on the executive council of the new League of Nations went instead to Spain—which had remained neutral in the war. In the end, Portugal ratified the treaty, but got little out of the war, which cost more than 8,000 Portuguese troops and as many as 100,000 of her African colonial subjects their lives.[124]
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After the Versailles conference, Democratic President Woodrow Wilson claimed that "at last the world knows America as the savior of the world!"[125] However, the Republican Party, led by Henry Cabot Lodge, controlled the US Senate after the election of 1918, and the senators were divided into multiple positions on the Versailles question. It proved possible to build a majority coalition, but impossible to build a two-thirds coalition that was needed to pass a treaty.[126]
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A discontent bloc of 12–18 "Irreconcilables", mostly Republicans but also representatives of the Irish and German Democrats, fiercely opposed the treaty. One block of Democrats strongly supported the Versailles Treaty, even with reservations added by Lodge. A second group of Democrats supported the treaty but followed Wilson in opposing any amendments or reservations. The largest bloc, led by Senator Lodge,[127] comprised a majority of the Republicans. They wanted a treaty with reservations, especially on Article 10, which involved the power of the League of Nations to make war without a vote by the US Congress.[128] All of the Irreconcilables were bitter enemies of President Wilson, and he launched a nationwide speaking tour in the summer of 1919 to refute them. However, Wilson collapsed midway with a serious stroke that effectively ruined his leadership skills.[129]
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The closest the treaty came to passage was on 19 November 1919, as Lodge and his Republicans formed a coalition with the pro-Treaty Democrats, and were close to a two-thirds majority for a Treaty with reservations, but Wilson rejected this compromise and enough Democrats followed his lead to end the chances of ratification permanently. Among the American public as a whole, the Irish Catholics and the German Americans were intensely opposed to the treaty, saying it favored the British.[130]
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After Wilson's presidency, his successor Republican President Warren G. Harding continued American opposition to the formation of the League of Nations. Congress subsequently passed the Knox–Porter Resolution bringing a formal end to hostilities between the United States and the Central Powers. It was signed into law by President Harding on 2 July 1921.[131][132] Soon after, the US–German Peace Treaty of 1921 was signed in Berlin on 25 August 1921, and two similar treaties were signed with Austria and Hungary on 24 and 29 August 1921, in Vienna and Budapest respectively.
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Wilson's former friend Edward Mandell House, present at the negotiations, wrote in his diary on 29 June 1919:
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I am leaving Paris, after eight fateful months, with conflicting emotions. Looking at the conference in retrospect, there is much to approve and yet much to regret. It is easy to say what should have been done, but more difficult to have found a way of doing it. To those who are saying that the treaty is bad and should never have been made and that it will involve Europe in infinite difficulties in its enforcement, I feel like admitting it. But I would also say in reply that empires cannot be shattered, and new states raised upon their ruins without disturbance. To create new boundaries is to create new troubles. The one follows the other. While I should have preferred a different peace, I doubt very much whether it could have been made, for the ingredients required for such a peace as I would have were lacking at Paris.[133]
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Many in China felt betrayed as the German territory in China was handed to Japan. Wellington Koo refused to sign the treaty and the Chinese delegation at the Paris Peace Conference was the only nation that did not sign the Treaty of Versailles at the signing ceremony. The sense of betrayal led to great demonstrations in China such as the May 4th movement. There was immense dissatisfaction with Duan Qirui’s government, which had secretly negotiated with the Japanese in order to secure loans to fund their military campaigns against the south. On 12 June 1919, the Chinese cabinet was forced to resign and the government instructed its delegation at Versailles not to sign the treaty.[134][135] As a result, relations with the West deteriorated.[136][137]
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On 29 April, the German delegation under the leadership of the Foreign Minister Ulrich Graf von Brockdorff-Rantzau arrived in Versailles. On 7 May, when faced with the conditions dictated by the victors, including the so-called "War Guilt Clause", von Brockdorff-Rantzau replied to Clemenceau, Wilson and Lloyd George: "We know the full brunt of hate that confronts us here. You demand from us to confess we were the only guilty party of war; such a confession in my mouth would be a lie."[138] Because Germany was not allowed to take part in the negotiations, the German government issued a protest against what it considered to be unfair demands, and a "violation of honour",[139] soon afterwards withdrawing from the proceedings of the peace conference.
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Germans of all political shades denounced the treaty—particularly the provision that blamed Germany for starting the war—as an insult to the nation's honor. They referred to the treaty as "the Diktat" since its terms were presented to Germany on a take-it-or-leave-it basis. Germany's first democratically elected head of government, Philipp Scheidemann, resigned rather than sign the treaty. In a passionate speech before the National Assembly on 12 May 1919, he called the treaty a "murderous plan" and exclaimed,
|
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—
|
100 |
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101 |
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Which hand, trying to put us in chains like these, would not wither? The treaty is unacceptable.[140]
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After Scheidemann's resignation, a new coalition government was formed under Gustav Bauer. President Friedrich Ebert knew that Germany was in an impossible situation. Although he shared his countrymen's disgust with the treaty, he was sober enough to consider the possibility that the government would not be in a position to reject it. He believed that if Germany refused to sign the treaty, the Allies would invade Germany from the west—and there was no guarantee that the army would be able to make a stand in the event of an invasion. With this in mind, he asked Field Marshal Paul von Hindenburg if the army was capable of any meaningful resistance in the event the Allies resumed the war. If there was even the slightest chance that the army could hold out, Ebert intended to recommend against ratifying the treaty. Hindenburg—after prodding from his chief of staff, Wilhelm Groener—concluded the army could not resume the war even on a limited scale. However, rather than inform Ebert himself, he had Groener inform the government that the army would be in an untenable position in the event of renewed hostilities. Upon receiving this, the new government recommended signing the treaty. The National Assembly voted in favour of signing the treaty by 237 to 138, with five abstentions (there were 421 delegates in total). This result was wired to Clemenceau just hours before the deadline. Foreign minister Hermann Müller and colonial minister Johannes Bell travelled to Versailles to sign the treaty on behalf of Germany. The treaty was signed on 28 June 1919 and ratified by the National Assembly on 9 July by a vote of 209 to 116.[141]
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The Japanese felt they had been treated unfairly by the Allies, notably by the United States, France, and Great Britain, in the Treaty, for that they got as what they saw as not enough in return for their efforts against the German Empire during the course of the war. Japan attempted to amend Racial Equality Proposal in the treaty, which would require racial equality among members of the League of Nations. The amendment had broad support, but was effectively declined when it was rejected by the United States and Australia. Japanese nationalism grew in response to their growing mistrust of Western powers. As a result, Japan became alienated among world powers, allowing it to pursue its own strategic interests in Asia and the Pacific.
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On 5 May 1921, the reparation Commission established the London Schedule of Payments and a final reparation sum of 132 billion gold marks to be demanded of all the Central Powers. This was the public assessment of what the Central Powers combined could pay, and was also a compromise between Belgian, British, and French demands and assessments. Furthermore, the Commission recognized that the Central Powers could pay little and that the burden would fall upon Germany. As a result, the sum was split into different categories, of which Germany was only required to pay 50 billion gold marks (US$12.5 billion); this being the genuine assessment of the Commission on what Germany could pay, and allowed the Allied powers to save face with the public by presenting a higher figure. Furthermore, payments made between 1919 and 1921 were taken into account reducing the sum to 41 billion gold marks.[142][143]
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In order to meet this sum, Germany could pay in cash or kind: coal, timber, chemical dyes, pharmaceuticals, livestock, agricultural machines, construction materials, and factory machinery. Germany's assistance with the restoration of the university library of Leuven, which was destroyed by the Germans on 25 August 1914, was also credited towards the sum. Territorial changes imposed by the treaty were also factored in.[144][145] The payment schedule required US$250 million within twenty-five days and then US$500 million annually, plus 26 per cent of the value of German exports. The German Government was to issue bonds at five per cent interest and set up a sinking fund of one per cent to support the payment of reparations.[146]
|
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In February and March 1920, the Schleswig Plebiscites were held. The people of Schleswig were presented with only two choices: Danish or German sovereignty. The northern Danish-speaking area voted for Denmark while the southern German-speaking area voted for Germany, resulting in the province being partitioned.[68] The East Prussia plebiscite was held on 11 July 1920. There was a 90% turn out with 99.3% of the population wishing to remain with Germany. Further plebiscites were held in Eupen, Malmedy, and Prussian Moresnet. On 20 September 1920, the League of Nations allotted these territories to Belgium. These latter plebiscites were followed by a boundary commission in 1922, followed by the new Belgian-German border being recognized by the German Government on 15 December 1923.[147] The transfer of the Hultschin area, of Silesia, to Czechoslovakia was completed on 3 February 1921.[148]
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Following the implementation of the treaty, Upper Silesia was initially governed by Britain, France, and Italy.[149] Between 1919 and 1921, three major outbreaks of violence took place between German and Polish civilians, resulting in German and Polish military forces also becoming involved.[149][150] In March 1921, the Inter-Allied Commission held the Upper Silesia plebiscite, which was peaceful despite the previous violence. The plebiscite resulted in c. 60 per cent of the population voting for the province to remain part of Germany.[151] Following the vote, the League of Nations debated the future of the province.[152] In 1922, Upper Silesia was partitioned: Oppeln, in the north-west, remained with Germany while Silesia Province, in the south-east, was transferred to Poland.[149]
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Memel remained under the authority of the League of Nations, with a French military garrison, until January 1923.[153] On 9 January 1923, Lithuanian forces invaded the territory during the Klaipėda Revolt.[154] The French garrison withdrew, and in February the Allies agreed to attach Memel as an "autonomous territory" to Lithuania.[153] On 8 May 1924, after negotiations between the Lithuanian Government and the Conference of Ambassadors and action by the League of Nations, the annexation of Memel was ratified.[154] Lithuania accepted the Memel Statute, a power-sharing arrangement to protect non-Lithuanians in the territory and its autonomous status while responsibility for the territory remained with the great powers. The League of Nations mediated between the Germans and Lithuanians on a local level, helping the power-sharing arrangement last until 1939.[153]
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On 13 January 1935, 15 years after the Saar Basin had been placed under the protection of the League of Nations, a plebiscite was held to determine the future of the area. 528,105 votes were cast, with 477,119 votes (90 per cent of the ballot) in favour of union with Germany; 46,613 votes were cast for the status quo, and 2,124 votes for union with France. The region returned to German sovereignty on 1 March 1935. When the result was announced 4,100 people, including 800 refugees from Germany fled to France.[65][155]
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In late 1918, American, Belgian, British, and French troops entered the Rhineland to enforce the armistice.[28] Prior to the treaty, the occupation force stood at roughly 740,000 men.[156][157][158][159] Following the signing of the peace treaty, the numbers drastically decreased and by 1926 the occupation force numbered only 76,000 men.[160] As part of the 1929 negotiations that would become the Young Plan, Stresemann and Aristide Briand negotiated the early withdrawal of Allied forces from the Rhineland.[161] On 30 June 1930, after speeches and the lowering of flags, the last troops of the Anglo-French-Belgian occupation force withdrew from Germany.[162]
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Belgium maintained an occupation force of roughly 10,000 troops throughout the initial years.[163] This figure fell to 7,102 by 1926, and continued to fall as a result of diplomatic developments.[164][165]
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The British Second Army, with some 275,000 veteran soldiers, entered Germany in late 1918.[166][158] In March 1919, this force became the British Army of the Rhine (BAOR). The total number of troops committed to the occupation rapidly dwindled as veteran soldiers were demobilized, and were replaced by inexperienced men who had finished basic training following the cessation of hostilities.[167] By 1920, the BAOR consisted of only 40,594 men and the following year had been further reduced to 12,421. The size of the BAOR fluctuated over the following years, but never rose above 9,000 men.[168] The British did not adhere to all obligated territorial withdrawals as dictated by Versailles, on account of Germany not meeting her own treaty obligations.[169] A complete withdrawal was considered, but rejected in order to maintain a presence to continue acting as a check on French ambitions and prevent the establishment of an autonomous Rhineland Republic.[170]
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The French Army of the Rhine was initially 250,000 men strong, including at a peak 40,000 African colonial troops (Troupes coloniales). By 1923, the French occupation force had decreased to roughly 130,000 men, including 27,126 African troops.[171] The troop numbers peaked again at 250,000 during the occupation of the Ruhr, before decreasing to 60,000 men by 1926.[164][172] Germans viewed the use of French colonial troops as a deliberate act of humiliation, and used their presence to create a propaganda campaign dubbed the Black shame. This campaign lasted throughout the 1920s and 30s, although peaked in 1920 and 1921. For example, a 1921 German Government memo detailed 300 acts of violence from colonial troops, which included 65 murders and 170 sexual offenses. Historical consensus is that the charges were exaggerated for political and propaganda purposes, and that the colonial troops behaved far better than their white counterparts.[171] An estimated 500–800 Rhineland Bastards were born as a result of fraternization between colonial troops and German women, and who would later be persecuted.[173]
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The United States Third Army entered Germany with 200,000 men. In June 1919, the Third Army demobilized and by 1920 the US occupation force had been reduced to 15,000 men.[174][156] Wilson further reduced the garrison to 6,500 men, prior to the inauguration of Warren G. Harding in 1921.[156] On 7 January 1923, after the Franco–Belgian occupation of the Ruhr, the US senate legislated the withdrawal of the remaining force.[175][176] On 24 January, the American garrison started their withdrawal from the Rhineland, with the final troops leaving in early February.[177]
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The German economy was so weak that only a small percentage of reparations was paid in hard currency. Nonetheless, even the payment of this small percentage of the original reparations (132 billion gold marks) still placed a significant burden on the German economy. Although the causes of the devastating post-war hyperinflation are complex and disputed, Germans blamed the near-collapse of their economy on the treaty, and some economists estimated that the reparations accounted for as much as one-third of the hyper-inflation.[178]
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In March 1921, French and Belgian troops occupied Duisburg, Düsseldorf, and other areas which formed part of the demilitarized Rhineland, according to the Treaty of Versailles. In January 1923, French and Belgian forces occupied the rest of the Ruhr area as a reprisal after Germany failed to fulfill reparation payments demanded by the Versailles Treaty. The German government answered with "passive resistance", which meant that coal miners and railway workers refused to obey any instructions by the occupation forces. Production and transportation came to a standstill, but the financial consequences contributed to German hyperinflation and completely ruined public finances in Germany. Consequently, passive resistance was called off in late 1923. The end of passive resistance in the Ruhr allowed Germany to undertake a currency reform and to negotiate the Dawes Plan, which led to the withdrawal of French and Belgian troops from the Ruhr Area in 1925.[179]
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In 1920, the head of the Reichswehr Hans von Seeckt clandestinely re-established the General Staff, by expanding the Truppenamt (Troop Office); purportedly a human resources section of the army.[180][181] In March, 18,000 German troops entered the Rhineland under the guise of attempting to quell possible unrest by communists and in doing so violated the demilitarized zone. In response, French troops advanced further into Germany until the German troops withdrew.[182]
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German officials conspired systematically to evade the clauses of the treaty, by failing to meet disarmament deadlines, refusing Allied officials access to military facilities, and maintaining and hiding weapon production.[182] As the treaty did not ban German companies from producing war material outside of Germany, companies moved to the Netherlands, Switzerland, and Sweden. Bofors was bought by Krupp, and in 1921 German troops were sent to Sweden to test weapons.[183] The establishment of diplomatic ties with the Soviet Union, via the Genoa Conference and Treaty of Rapallo, was also used to circumvent the Treaty of Versailles. Publicly, these diplomatic exchanges were largely in regards to trade and future economic cooperation. However, secret military clauses were included that allowed for Germany to develop weapons inside the Soviet Union. Furthermore, it allowed for Germany to establish three training areas for aviation, chemical and tank warfare.[184][185][186][187] In 1923, the British newspaper The Times made several claims about the state of the German Armed Forces: that it had equipment for 800,000 men, was transferring army staff to civilian positions in order to obscure their real duties, and warned of the militarization of the German police force by the exploitation the Krümper system.[188][nb 4]
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The Weimar Government also funded domestic rearmament programs, which were covertly funded with the money camouflaged in "X-budgets", worth up to an additional 10% of the disclosed military budget.[190] By 1925, German companies had begun to design tanks and modern artillery. During the year, over half of Chinese arms imports were German and worth 13 million Reichsmarks. In January 1927, following the withdrawal of the Allied disarmament committee, Krupps ramped up production of armor plate and artillery.[191][192][nb 5] Production increased so that by 1937, military exports had increased to 82,788,604 Reichsmarks.[191][192] Production was not the only violation: "Volunteers" were rapidly passed through the army to make a pool of trained reserves, and paramilitary organizations were encouraged with the illegally militarized police. Non-commissioned officers (NCOs) were not limited by the treaty, thus this loophole was exploited and as such the number of NCOs were vastly in excess to the number needed by the Reichswehr.[193]
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In December 1931, the Reichswehr finalized a second rearmament plan that called for 480 million Reichsmarks to be spent over the following five years: this program sought to provide Germany the capability of creating and supplying a defensive force of 21 divisions supported by aircraft, artillery, and tanks. This coincided with a 1 billion Reichsmark programme that planned for additional industrial infrastructure that would be able to permanently maintain this force. As these programs did not require an expansion of the military, they were nominally legal.[194] On 7 November 1932, the Reich Minister of Defense Kurt von Schleicher authorized the illegal Umbau Plan for a standing army of 21 divisions based on 147,000 professional soldiers and a large militia.[194] Later in the year at the World Disarmament Conference, Germany withdrew to force France and Britain to accept German equality of status.[194] London attempted to get Germany to return with the promise of all nations maintaining an equality in armaments and security. The British later proposed and agreed to an increase in the Reichswehr to 200,000 men, and for Germany to have an air force half the size of the French. It was also negotiated for the French Army to be reduced.[195]
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In October 1933, following the rise of Adolf Hitler and the founding of Nazi regime, Germany withdrew from League of Nations and the World Disarmament Conference. In March 1935, Germany reintroduced conscription followed by an open rearmament programme, the official unveiling of the Luftwaffe (air force), and signed the Anglo-German Naval Agreement that allowed a surface fleet 35% of the size of the Royal Navy.[196][197][198] The resulting rearmament programs was allotted 35 billion Reichsmarks over an eight-year period.[199]
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On 7 March 1936, German troops entered and remilitarized the Rhineland.[200] On 12 March 1938, following German pressure to the collapse the Austrian Government, German troops crossed into Austria and the following day Hitler announced the Anschluss: the annexation of Austria by Germany.[201] The following year, on 23 March 1939, Germany annexed Memel from Lithuania.[202]
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Historians are split on the impact of the treaty. Some saw it as a good solution in a difficult time, others saw it as a disastrous measure that would anger the Germans to seek revenge. The actual impact of the treaty is also disputed.[203]
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In his book The Economic Consequences of the Peace, John Maynard Keynes referred to the Treaty of Versailles as a "Carthaginian peace", a misguided attempt to destroy Germany on behalf of French revanchism, rather than to follow the fairer principles for a lasting peace set out in President Woodrow Wilson's Fourteen Points, which Germany had accepted at the armistice. He stated: "I believe that the campaign for securing out of Germany the general costs of the war was one of the most serious acts of political unwisdom for which our statesmen have ever been responsible."[204] Keynes had been the principal representative of the British Treasury at the Paris Peace Conference, and used in his passionate book arguments that he and others (including some US officials) had used at Paris.[205] He believed the sums being asked of Germany in reparations were many times more than it was possible for Germany to pay, and that these would produce drastic instability.[206]
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French economist Étienne Mantoux disputed that analysis. During the 1940s, Mantoux wrote a posthumously published book titled The Carthaginian Peace, or the Economic Consequences of Mr. Keynes in an attempt to rebut Keynes' claims. More recently economists have argued that the restriction of Germany to a small army saved it so much money it could afford the reparations payments.[207]
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It has been argued (for instance by historian Gerhard Weinberg in his book A World at Arms[208]) that the treaty was in fact quite advantageous to Germany. The Bismarckian Reich was maintained as a political unit instead of being broken up, and Germany largely escaped post-war military occupation (in contrast to the situation following World War II). In a 1995 essay, Weinberg noted that with the disappearance of Austria-Hungary and with Russia withdrawn from Europe, that Germany was now the dominant power in Eastern Europe.[209]
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The British military historian Correlli Barnett claimed that the Treaty of Versailles was "extremely lenient in comparison with the peace terms that Germany herself, when she was expecting to win the war, had had in mind to impose on the Allies". Furthermore, he claimed, it was "hardly a slap on the wrist" when contrasted with the Treaty of Brest-Litovsk that Germany had imposed on a defeated Russian SFSR in March 1918, which had taken away a third of Russia's population (albeit mostly of non-Russian ethnicity), one-half of Russia's industrial undertakings and nine-tenths of Russia's coal mines, coupled with an indemnity of six billion marks.[210] Eventually, even under the "cruel" terms of the Treaty of Versailles, Germany's economy had been restored to its pre-war status.
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Barnett also claims that, in strategic terms, Germany was in fact in a superior position following the Treaty than she had been in 1914. Germany's eastern frontiers faced Russia and Austria, who had both in the past balanced German power. Barnett asserts that its post-war eastern borders were safer, because the former Austrian Empire fractured after the war into smaller, weaker states, Russia was wracked by revolution and civil war, and the newly restored Poland was no match for even a defeated Germany. In the West, Germany was balanced only by France and Belgium, both of which were smaller in population and less economically vibrant than Germany. Barnett concludes by saying that instead of weakening Germany, the treaty "much enhanced" German power.[211] Britain and France should have (according to Barnett) "divided and permanently weakened" Germany by undoing Bismarck's work and partitioning Germany into smaller, weaker states so it could never have disrupted the peace of Europe again.[212] By failing to do this and therefore not solving the problem of German power and restoring the equilibrium of Europe, Britain "had failed in her main purpose in taking part in the Great War".[213]
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The British historian of modern Germany, Richard J. Evans, wrote that during the war the German right was committed to an annexationist program which aimed at Germany annexing most of Europe and Africa. Consequently, any peace treaty that did not leave Germany as the conqueror would be unacceptable to them.[214] Short of allowing Germany to keep all the conquests of the Treaty of Brest-Litovsk, Evans argued that there was nothing that could have been done to persuade the German right to accept Versailles.[214] Evans further noted that the parties of the Weimar Coalition, namely the Social Democratic Party of Germany (SPD), the social liberal German Democratic Party (DDP) and the Christian democratic Centre Party, were all equally opposed to Versailles, and it is false to claim as some historians have that opposition to Versailles also equalled opposition to the Weimar Republic.[214] Finally, Evans argued that it is untrue that Versailles caused the premature end of the Republic, instead contending that it was the Great Depression of the early 1930s that put an end to German democracy. He also argued that Versailles was not the "main cause" of National Socialism and the German economy was "only marginally influenced by the impact of reparations".[214]
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Ewa Thompson points out that the treaty allowed numerous nations in Central and Eastern Europe to liberate themselves from oppressive German rule, a fact that is often neglected by Western historiography, more interested in understanding the German point of view. In nations that found themselves free as the result of the treaty—such as Poles or Czechs—it is seen as a symbol of recognition of wrongs committed against small nations by their much larger aggressive neighbours.[215]
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Resentment caused by the treaty sowed fertile psychological ground for the eventual rise of the Nazi Party.[216] But the German-born Australian historian Jürgen Tampke argued that it was "a perfidious distortion of history" to argue that the terms prevented the growth of democracy in Germany and aided the growth of the Nazi party; saying that its terms were not as punitive as often held and that German hyper-inflation in the 1920s was partly a deliberate policy to minimise the cost of repatriations. As an example of the arguments against the Versaillerdiktat he quotes Elizabeth Wiskemann who heard two officer's widows in Wiesbaden complaining that "with their stocks of linen depleted they had to have their linen washed once a fortnight (every two weeks) instead of once a month!"[217]
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The German historian Detlev Peukert wrote that Versailles was far from the impossible peace that most Germans claimed it was during the interwar period, and though not without flaws was actually quite reasonable to Germany.[218] Rather, Peukert argued that it was widely believed in Germany that Versailles was a totally unreasonable treaty, and it was this "perception" rather than the "reality" of the Versailles treaty that mattered.[218] Peukert noted that because of the "millenarian hopes" created in Germany during World War I when for a time it appeared that Germany was on the verge of conquering all of Europe, any peace treaty the Allies of World War I imposed on the defeated German Reich were bound to create a nationalist backlash, and there was nothing the Allies could have done to avoid that backlash.[218] Having noted that much, Peukert commented that the policy of rapprochement with the Western powers that Gustav Stresemann carried out between 1923 and 1929 were constructive policies that might have allowed Germany to play a more positive role in Europe, and that it was not true that German democracy was doomed to die in 1919 because of Versailles.[218] Finally, Peukert argued that it was the Great Depression and the turn to a nationalist policy of autarky within Germany at the same time that finished off the Weimar Republic, not the Treaty of Versailles.[218]
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French historian Raymond Cartier states that millions of Germans in the Sudetenland and in Posen-West Prussia were placed under foreign rule in a hostile environment, where harassment and violation of rights by authorities are documented.[219] Cartier asserts that, out of 1,058,000 Germans in Posen-West Prussia in 1921, 758,867 fled their homelands within five years due to Polish harassment.[219] These sharpening ethnic conflicts would lead to public demands to reattach the annexed territory in 1938 and become a pretext for Hitler's annexations of Czechoslovakia and parts of Poland.[219]
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According to David Stevenson, since the opening of French archives, most commentators have remarked on French restraint and reasonableness at the conference, though Stevenson notes that "[t]he jury is still out", and that "there have been signs that the pendulum of judgement is swinging back the other way."[220]
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The Treaty of Versailles resulted in the creation of several thousand miles of new boundaries, with maps playing a central role in the negotiations at Paris.[221][222] The plebiscites initiated due to the treaty have drawn much comment. Historian Robert Peckham wrote that the issue of Schleswig "was premised on a gross simplification of the region's history. ... Versailles ignored any possibility of there being a third way: the kind of compact represented by the Swiss Federation; a bilingual or even trilingual Schleswig-Holsteinian state" or other options such as "a Schleswigian state in a loose confederation with Denmark or Germany, or an autonomous region under the protection of the League of Nations."[223] In regards to the East Prussia plebiscite, historian Richard Blanke wrote that "no other contested ethnic group has ever, under un-coerced conditions, issued so one-sided a statement of its national preference".[223] Richard Debo wrote "both Berlin and Warsaw believed the Soviet invasion of Poland had influenced the East Prussian plebiscites. Poland appeared so close to collapse that even Polish voters had cast their ballots for Germany".[224]
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In regards to the Silesian plebiscite, Blanke observed "given that the electorate was at least 60% Polish-speaking, this means that about one 'Pole' in three voted for Germany" and "most Polish observers and historians" have concluded that the outcome of plebiscite was due to "unfair German advantages of incumbency and socio-economic position". Blanke alleged "coercion of various kinds even in the face of an allied occupation regime" occurred, and that Germany granted votes to those "who had been born in Upper Silesia but no longer resided there". Blanke concluded that despite these protests "there is plenty of other evidence, including Reichstag election results both before and after 1921 and the large-scale emigration of Polish-speaking Upper Silesians to Germany after 1945, that their identification with Germany in 1921 was neither exceptional nor temporary" and "here was a large population of Germans and Poles—not coincidentally, of the same Catholic religion—that not only shared the same living space but also came in many cases to see themselves as members of the same national community".[151] Prince Eustachy Sapieha, the Polish Minister of Foreign Affairs, alleged that Soviet Russia "appeared to be intentionally delaying negotiations" to end the Polish-Soviet War "with the object of influencing the Upper Silesian plebiscite".[224] Once the region was partitioned, both "Germany and Poland attempted to 'cleanse' their shares of Upper Silesia" via oppression resulting in Germans migrating to Germany and Poles migrating to Poland. Despite the oppression and migration, Opole Silesia "remained ethnically mixed."[149]
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Frank Russell wrote that, in regards to the Saar plebiscite, the inhabitants "were not terrorized at the polls" and the "totalitarian [Nazi] German regime was not distasteful to most of the Saar inhabitants and that they preferred it even to an efficient, economical, and benevolent international rule." When the outcome of the vote became known, 4,100 (including 800 refugees who had previously fled Germany) residents fled over the border into France.[155]
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During the formulation of the treaty, the British wanted Germany to abolish conscription but be allowed to maintain a volunteer Army. The French wanted Germany to maintain a conscript army of up to 200,000 men in order to justify their own maintenance of a similar force. Thus the treaty's allowance of 100,000 volunteers was a compromise between the British and French positions. Germany, on the other hand, saw the terms as leaving them defenseless against any potential enemy.[225] Bernadotte Everly Schmitt wrote that "there is no reason to believe that the Allied governments were insincere when they stated at the beginning of Part V of the Treaty ... that in order to facilitate a general reduction of the armament of all nations, Germany was to be required to disarm first." A lack of American ratification of the treaty or joining the League of Nations left France unwilling to disarm, which resulted in a German desire to rearm.[114] Schmitt argued "had the four Allies remained united, they could have forced Germany really to disarm, and the German will and capacity to resist other provisions of the treaty would have correspondingly diminished."[226]
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Max Hantke and Mark Spoerer wrote "military and economic historians [have] found that the German military only insignificantly exceeded the limits" of the treaty prior to 1933.[190] Adam Tooze concurred, and wrote "To put this in perspective, annual military spending by the Weimar Republic was counted not in the billions but in the hundreds of millions of Reichsmarks"; for example, the Weimar Republic's 1931 program of 480 million Reichsmarks over five years compared to the Nazi Government's 1933 plan to spend 4.4 billion Reichsmarks per year.[227] P. M. H. Bell argued that the British Government was aware of later Weimar rearming, and lent public respectability to the German efforts by not opposing them,[195] an opinion shared by Churchill.[228] Norman Davies wrote that "a curious oversight" of the military restrictions were that they "did not include rockets in its list of prohibited weapons", which provided Wernher von Braun an area to research within eventually resulting in "his break [that] came in 1943" leading to the development of the V-2 rocket.[229]
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The Treaty created much resentment in Germany, which was exploited by Adolf Hitler in his rise to power at the helm of Nazi Germany. Central to this was belief in the stab-in-the-back myth, which held that the German army had not lost the war and had been betrayed by the Weimar Republic, who negotiated an unnecessary surrender. The Great Depression exacerbated the issue, and led to a collapse of the German economy. Though the treaty may not have caused the crash, it was a convenient scapegoat. Germans viewed the treaty as a humiliation, and eagerly listened to Hitler's oratory which blamed the treaty for Germany's ills. Hitler promised to reverse the depredations of the Allied powers and recover Germany's lost territory and pride, which has led to the treaty being cited as a cause of World War II.[230][231][232][233]
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The Treaty of Versailles (French: Traité de Versailles) was the most important of the peace treaties that brought World War I to an end. The Treaty ended the state of war between Germany and the Allied Powers. It was signed on 28 June 1919 in Versailles, exactly five years after the assassination of Archduke Franz Ferdinand, which had directly led to the war. The other Central Powers on the German side signed separate treaties.[6] Although the armistice, signed on 11 November 1918, ended the actual fighting, it took six months of Allied negotiations at the Paris Peace Conference to conclude the peace treaty. The treaty was registered by the Secretariat of the League of Nations on 21 October 1919.
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Of the many provisions in the treaty, one of the most important and controversial required "Germany [to] accept the responsibility of Germany and her allies for causing all the loss and damage" during the war (the other members of the Central Powers signed treaties containing similar articles). This article, Article 231, later became known as the War Guilt clause. The treaty required Germany to disarm, make ample territorial concessions, and pay reparations to certain countries that had formed the Entente powers. In 1921 the total cost of these reparations was assessed at 132 billion marks (then $31.4 billion or £6.6 billion, roughly equivalent to US$442 billion or UK£284 billion in 2020). At the time economists, notably John Maynard Keynes (a British delegate to the Paris Peace Conference), predicted that the treaty was too harsh—a "Carthaginian peace"—and said the reparations figure was excessive and counter-productive, views that, since then, have been the subject of ongoing debate by historians and economists. On the other hand, prominent figures on the Allied side, such as French Marshal Ferdinand Foch, criticized the treaty for treating Germany too leniently.
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The result of these competing and sometimes conflicting goals among the victors was a compromise that left no one satisfied, and, in particular, Germany was neither pacified nor conciliated, nor was it permanently weakened. The problems that arose from the treaty would lead to the Locarno Treaties, which improved relations between Germany and the other European powers, and the re-negotiation of the reparation system resulting in the Dawes Plan, the Young Plan, and the indefinite postponement of reparations at the Lausanne Conference of 1932. The treaty has sometimes been cited as a cause of World War II: although its actual impact was not as severe as feared, its terms led to great resentment in Germany which powered the rise of Hitler's Nazis.
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Although it is often referred to as the "Versailles Conference", only the actual signing of the treaty took place at the historic palace. Most of the negotiations were in Paris, with the "Big Four" meetings taking place generally at the French Ministry of Foreign Affairs on the Quai d'Orsay.
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On 28 June 1914, the heir to the throne of Austria-Hungary, the Archduke Franz Ferdinand of Austria, was assassinated by a Serbian nationalist.[7] This caused a rapidly escalating July Crisis resulting in Austria-Hungary declaring war on Serbia, followed quickly by the entry of most European powers into the First World War.[8] Two alliances faced off, the Central Powers (led by Germany) and the Triple Entente (led by Britain, France and Russia). Other countries entered as fighting raged widely across Europe, as well as the Middle East, Africa and Asia. In 1917, two revolutions occurred within the Russian Empire. The new Bolshevik government under Vladimir Lenin in March 1918 signed the Treaty of Brest-Litovsk that was highly favourable to Germany. Sensing victory before American armies could be ready, Germany now shifted force to the Western Front and tried to overwhelm the Allies. It failed. Instead the Allies won decisively on the battlefield and forced an armistice in November 1918 that resembled a surrender.[9]
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On 6 April 1917, the United States entered the war against the Central Powers. The motives were twofold: German submarine warfare against merchant ships trading with France and Britain, which led to the sinking of the RMS Lusitania and the loss of 128 American lives; and the interception of the German Zimmermann Telegram, urging Mexico to declare war against the United States.[10] The American war aim was to detach the war from nationalistic disputes and ambitions after the Bolshevik disclosure of secret treaties between the Allies. The existence of these treaties tended to discredit Allied claims that Germany was the sole power with aggressive ambitions.[11]
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On 8 January 1918, President Woodrow Wilson issued the nation's postwar goals, the Fourteen Points. It outlined a policy of free trade, open agreements, and democracy. While the term was not used self-determination was assumed. It called for a negotiated end to the war, international disarmament, the withdrawal of the Central Powers from occupied territories, the creation of a Polish state, the redrawing of Europe's borders along ethnic lines, and the formation of a League of Nations to guarantee the political independence and territorial integrity of all states.[12][13] It called for a just and democratic peace uncompromised by territorial annexation. The Fourteen Points were based on the research of the Inquiry, a team of about 150 advisors led by foreign-policy advisor Edward M. House, into the topics likely to arise in the expected peace conference.[14]
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After the Central Powers launched Operation Faustschlag on the Eastern Front, the new Soviet Government of Russia signed the Treaty of Brest-Litovsk with Germany on 3 March 1918.[15] This treaty ended the war between Russia and the Central powers and annexed 1,300,000 square miles (3,400,000 km2) of territory and 62 million people.[16] This loss equated to a third of the Russian population, a quarter of its territory, around a third of the country's arable land, three-quarters of its coal and iron, a third of its factories (totalling 54 percent of the nation's industrial capacity), and a quarter of its railroads.[16][17]
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During the autumn of 1918, the Central Powers began to collapse.[18] Desertion rates within the German army began to increase, and civilian strikes drastically reduced war production.[19][20] On the Western Front, the Allied forces launched the Hundred Days Offensive and decisively defeated the German western armies.[21] Sailors of the Imperial German Navy at Kiel mutinied, which prompted uprisings in Germany, which became known as the German Revolution.[22][23] The German government tried to obtain a peace settlement based on the Fourteen Points, and maintained it was on this basis that they surrendered. Following negotiations, the Allied powers and Germany signed an armistice, which came into effect on 11 November while German forces were still positioned in France and Belgium.[24][25][26]
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The terms of the armistice called for an immediate evacuation of German troops from occupied Belgium, France, and Luxembourg within fifteen days.[27] In addition, it established that Allied forces would occupy the Rhineland. In late 1918, Allied troops entered Germany and began the occupation.[28]
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Both Germany and Great Britain were dependent on imports of food and raw materials, most of which had to be shipped across the Atlantic Ocean. The Blockade of Germany (1914–1919) was a naval operation conducted by the Allied Powers to stop the supply of raw materials and foodstuffs reaching the Central Powers. The German Kaiserliche Marine was mainly restricted to the German Bight and used commerce raiders and unrestricted submarine warfare for a counter-blockade. The German Board of Public Health in December 1918 stated that 763,000 German civilians had died during the Allied blockade, although an academic study in 1928 put the death toll at 424,000 people.[29]
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Talks between the Allies to establish a common negotiating position started on 18 January 1919, in the Salle de l'Horloge at the French Foreign Ministry on the Quai d'Orsay in Paris.[30] Initially, 70 delegates from 27 nations participated in the negotiations.[31] Russia was excluded due to their signing of a separate peace (the Treaty of Brest-Litovsk) and early withdrawal from the war. Furthermore, German negotiators were excluded to deny them an opportunity to divide the Allies diplomatically.[32][33]
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Initially, a "Council of Ten" (comprising two delegates each from Britain, France, the United States, Italy, and Japan) met officially to decide the peace terms. This council was replaced by the "Council of Five", formed from each country's foreign ministers, to discuss minor matters. French Prime Minister Georges Clemenceau, Italian Prime Minister Vittorio Emanuele Orlando, British Prime Minister David Lloyd George, and United States President Woodrow Wilson formed the "Big Four" (at one point becoming the "Big Three" following the temporary withdrawal of Vittorio Emanuele Orlando). These four men met in 145 closed sessions to make all the major decisions, which were later ratified by the entire assembly. The minor powers attended a weekly "Plenary Conference" that discussed issues in a general forum but made no decisions. These members formed over 50 commissions that made various recommendations, many of which were incorporated into the final text of the treaty.[34][35][36]
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France had lost 1.3 million soldiers, including 25% of French men aged 18–30 and 400,000 civilians. France had also been more physically damaged than any other nation (the so-called zone rouge (Red Zone); the most industrialized region and the source of most coal and iron ore in the north-east had been devastated and in the final days of the war mines had been flooded and railways, bridges and factories destroyed.)[37] Clemenceau intended to ensure the security of France, by weakening Germany economically, militarily, territorially and by supplanting Germany as the leading producer of steel in Europe.[37][38][39] British economist and Versailles negotiator John Maynard Keynes summarized this position as attempting to "set the clock back and undo what, since 1870, the progress of Germany had accomplished."[40]
|
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Clemenceau told Wilson: "America is far away, protected by the ocean. Not even Napoleon himself could touch England. You are both sheltered; we are not".[41] The French wanted a frontier on the Rhine, to protect France from a German invasion and compensate for French demographic and economic inferiority.[42][43] American and British representatives refused the French claim and after two months of negotiations, the French accepted a British pledge to provide an immediate alliance with France if Germany attacked again, and Wilson agreed to put a similar proposal to the Senate. Clemenceau had told the Chamber of Deputies, in December 1918, that his goal was to maintain an alliance with both countries. Clemenceau accepted the offer, in return for an occupation of the Rhineland for fifteen years and that Germany would also demilitarise the Rhineland.[44]
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35 |
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French negotiators required reparations, to make Germany pay for the destruction induced throughout the war and to decrease German strength.[37] The French also wanted the iron ore and coal of the Saar Valley, by annexation to France.[45] The French were willing to accept a smaller amount of reparations than the Americans would concede and Clemenceau was willing to discuss German capacity to pay with the German delegation, before the final settlement was drafted. In April and May 1919, the French and Germans held separate talks, on mutually acceptable arrangements on issues like reparation, reconstruction and industrial collaboration. France, along with the British Dominions and Belgium, opposed mandates and favored annexation of former German colonies.[46]
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Britain had suffered heavy financial costs but suffered little physical devastation during the war.[47] However, the British wartime coalition was re-elected during the so-called Coupon election at the end of 1918, with a policy of squeezing the German "'til the pips squeak".[48][49] Public opinion favoured a "just peace", which would force Germany to pay reparations and be unable to repeat the aggression of 1914, although those of a "liberal and advanced opinion" shared Wilson's ideal of a peace of reconciliation.[24]
|
38 |
+
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In private Lloyd George opposed revenge and attempted to compromise between Clemenceau's demands and the Fourteen Points, because Europe would eventually have to reconcile with Germany.[50] Lloyd George wanted terms of reparation that would not cripple the German economy, so that Germany would remain a viable economic power and trading partner.[49][50][47] By arguing that British war pensions and widows' allowances should be included in the German reparation sum, Lloyd George ensured that a large amount would go to the British Empire.[51]
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Lloyd George also intended to maintain a European balance of power to thwart a French attempt to establish itself as the dominant European power. A revived Germany would be a counterweight to France and a deterrent to Bolshevik Russia. Lloyd George also wanted to neutralize the German navy to keep the Royal Navy as the greatest naval power in the world; dismantle the German colonial empire with several of its territorial possessions ceded to Britain and others being established as League of Nations mandates, a position opposed by the Dominions.[50]
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Prior to the American entry into the war, Wilson had talked of a 'peace without victory'.[52] This position fluctuated following the US entry into the war. Wilson spoke of the German aggressors, with whom there could be no compromised peace.[53] However, on 8 January 1918, Wilson delivered a speech (known as the Fourteen Points) that declared the American peace objectives: the rebuilding of the European economy, self-determination of European and Middle Eastern ethnic groups, the promotion of free trade, the creation of appropriate mandates for former colonies, and above all, the creation of a powerful League of Nations that would ensure the peace.[54] The aim of the latter was to provide a forum to revise the peace treaties as needed, and deal with problems that arose as a result of the peace and the rise of new states.[55][50]
|
44 |
+
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Wilson brought along top intellectuals as advisors to the American peace delegation, and the overall American position echoed the Fourteen Points. Wilson firmly opposed harsh treatment on Germany.[54] While the British and French wanted to largely annex the German colonial empire, Wilson saw that as a violation of the fundamental principles of justice and human rights of the native populations, and favored them having the right of self-determination via the creation of mandates. The promoted idea called for the major powers to act as disinterested trustees over a region, aiding the native populations until they could govern themselves.[56] In spite of this position and in order to ensure that Japan did not refuse to join the League of Nations, Wilson favored turning over the former German colony of Shandong, in Eastern China, to Japan rather than return the area to Chinese control.[57] Further confounding the Americans, was US internal partisan politics. In November 1918, the Republican Party won the Senate election by a slim margin. Wilson, a Democrat, refused to include prominent Republicans in the American delegation making his efforts seem partisan, and contributed to a risk of political defeat at home.[54]
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Vittorio Emanuele Orlando and his foreign minister Sidney Sonnino, an Anglican of British origins, worked primarily to secure the partition of the Habsburg Empire and their attitude towards Germany was not as hostile. Generally speaking, Sonnino was in line with the British position while Orlando favored a compromise between Clemenceau and Wilson. Within the negotiations for the Treaty of Versailles, Orlando obtained certain results such as the permanent membership of Italy in the security council of the League of Nations and a promised transfer of British Jubaland and French Aozou strip to the Italian colonies of Somalia and Libya respectively. Italian nationalists, however, saw WW1 as a mutilated victory for what they considered to be little territorial gains achieved in the other treaties directly impacting Italy's borders. Orlando was ultimately forced to abandon the conference and resign. Orlando refused to see World War One as a mutilated victory, replying at nationalists calling for a greater expansion that "Italy today is a great state....on par with the great historic and contemporary states. This is, for me, our main and principal expansion." Francesco Saverio Nitti took Orlando's place in signing the treaty of Versailles.[58]
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In June 1919, the Allies declared that war would resume if the German government did not sign the treaty they had agreed to among themselves. The government headed by Philipp Scheidemann was unable to agree on a common position, and Scheidemann himself resigned rather than agree to sign the treaty. Gustav Bauer, the head of the new government, sent a telegram stating his intention to sign the treaty if certain articles were withdrawn, including Articles 227, 230 and 231.[nb 1] In response, the Allies issued an ultimatum stating that Germany would have to accept the treaty or face an invasion of Allied forces across the Rhine within 24 hours. On 23 June, Bauer capitulated and sent a second telegram with a confirmation that a German delegation would arrive shortly to sign the treaty.[59] On 28 June 1919, the fifth anniversary of the assassination of Archduke Franz Ferdinand (the immediate impetus for the war), the peace treaty was signed.[2] The treaty had clauses ranging from war crimes, the prohibition on the merging of the Republic of German Austria with Germany without the consent of the League of Nations, freedom of navigation on major European rivers, to the returning of a Koran to the king of Hedjaz.[60][61][62][63]
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The treaty stripped Germany of 25,000 square miles (65,000 km2) of territory and 7 million people. It also required Germany to give up the gains made via the Treaty of Brest-Litovsk and grant independence to the protectorates that had been established.[17] In Western Europe Germany was required to recognize Belgian sovereignty over Moresnet and cede control of the Eupen-Malmedy area. Within six months of the transfer, Belgium was required to conduct a plebiscite on whether the citizens of the region wanted to remain under Belgian sovereignty or return to German control, communicate the results to the League of Nations and abide by the League's decision.[64] To compensate for the destruction of French coal mines, Germany was to cede the output of the Saar coalmines to France and control of the Saar to the League of Nations for 15 years; a plebiscite would then be held to decide sovereignty.[65] The treaty restored the provinces of Alsace-Lorraine to France by rescinding the treaties of Versailles and Frankfurt of 1871 as they pertained to this issue.[66] France was able to make the claim that the provinces of Alsace-Lorraine were indeed part of France and not part of Germany by disclosing a letter sent from the Prussian King to Empress Eugénie that Eugénie provided, in which William I wrote that the territories of Alsace-Lorraine were requested by Germany for the sole purpose of national defense and not to expand the German territory.[67] The sovereignty of Schleswig-Holstein was to be resolved by a plebiscite to be held at a future time (see Schleswig Plebiscites).[68]
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53 |
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In Central Europe Germany was to recognize the independence of Czechoslovakia (which had actually been controlled by Austria) and cede parts of the province of Upper Silesia.[69] Germany had to recognize the independence of Poland and renounce "all rights and title over the territory". Portions of Upper Silesia were to be ceded to Poland, with the future of the rest of the province to be decided by plebiscite. The border would be fixed with regard to the vote and to the geographical and economic conditions of each locality.[70] The province of Posen (now Poznań), which had come under Polish control during the Greater Poland Uprising, was also to be ceded to Poland.[71]
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[72] Pomerelia (Eastern Pomerania), on historical and ethnic grounds, was transferred to Poland so that the new state could have access to the sea and became known as the Polish Corridor.[73] The sovereignty of part of southern East Prussia was to be decided via plebiscite while the East Prussian Soldau area, which was astride the rail line between Warsaw and Danzig, was transferred to Poland outright without plebiscite.[74][75] An area of 51,800 square kilometres (20,000 square miles) was granted to Poland at the expense of Germany.[76] Memel was to be ceded to the Allied and Associated powers, for disposal according to their wishes.[77] Germany was to cede the city of Danzig and its hinterland, including the delta of the Vistula River on the Baltic Sea, for the League of Nations to establish the Free City of Danzig.[78]
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Article 119 of the treaty required Germany to renounce sovereignty over former colonies and Article 22 converted the territories into League of Nations mandates under the control of Allied states.[79] Togoland and German Kamerun (Cameroon) were transferred to France. Ruanda and Urundi were allocated to Belgium, whereas German South-West Africa went to South Africa and Britain obtained German East Africa.[80][81][82] As compensation for the German invasion of Portuguese Africa, Portugal was granted the Kionga Triangle, a sliver of German East Africa in northern Mozambique.[83] Article 156 of the treaty transferred German concessions in Shandong, China, to Japan, not to China. Japan was granted all German possessions in the Pacific north of the equator and those south of the equator went to Australia, except for German Samoa, which was taken by New Zealand.[81][84]
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The treaty was comprehensive and complex in the restrictions imposed upon the post-war German armed forces (the Reichswehr). The provisions were intended to make the Reichswehr incapable of offensive action and to encourage international disarmament.[85][86] Germany was to demobilize sufficient soldiers by 31 March 1920 to leave an army of no more than 100,000 men in a maximum of seven infantry and three cavalry divisions. The treaty laid down the organisation of the divisions and support units, and the General Staff was to be dissolved.[87] Military schools for officer training were limited to three, one school per arm, and conscription was abolished. Private soldiers and non-commissioned officers were to be retained for at least twelve years and officers for a minimum of 25 years, with former officers being forbidden to attend military exercises. To prevent Germany from building up a large cadre of trained men, the number of men allowed to leave early was limited.[88]
|
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The number of civilian staff supporting the army was reduced and the police force was reduced to its pre-war size, with increases limited to population increases; paramilitary forces were forbidden.[89] The Rhineland was to be demilitarized, all fortifications in the Rhineland and 50 kilometres (31 miles) east of the river were to be demolished and new construction was forbidden.[90] Military structures and fortifications on the islands of Heligoland and Düne were to be destroyed.[91] Germany was prohibited from the arms trade, limits were imposed on the type and quantity of weapons and prohibited from the manufacture or stockpile of chemical weapons, armoured cars, tanks and military aircraft.[92] The German navy was allowed six pre-dreadnought battleships and was limited to a maximum of six light cruisers (not exceeding 6,000 long tons (6,100 t)), twelve destroyers (not exceeding 800 long tons (810 t)) and twelve torpedo boats (not exceeding 200 long tons (200 t)) and was forbidden submarines.[93] The manpower of the navy was not to exceed 15,000 men, including manning for the fleet, coast defences, signal stations, administration, other land services, officers and men of all grades and corps. The number of officers and warrant officers was not allowed to exceed 1,500 men.[94] Germany surrendered eight battleships, eight light cruisers, forty-two destroyers, and fifty torpedo boats for decommissioning. Thirty-two auxiliary ships were to be disarmed and converted to merchant use.[95] Article 198 prohibited Germany from having an air force, including naval air forces, and required Germany to hand over all aerial related materials. In conjunction, Germany was forbidden to manufacture or import aircraft or related material for a period of six months following the signing of the treaty.[96]
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In Article 231 Germany accepted responsibility for the losses and damages caused by the war "as a consequence of the ... aggression of Germany and her allies."[97][nb 2] The treaty required Germany to compensate the Allied powers, and it also established an Allied "Reparation Commission" to determine the exact amount which Germany would pay and the form that such payment would take. The commission was required to "give to the German Government a just opportunity to be heard", and to submit its conclusions by 1 May 1921. In the interim, the treaty required Germany to pay an equivalent of 20 billion gold marks ($5 billion) in gold, commodities, ships, securities or other forms. The money would help to pay for Allied occupation costs and buy food and raw materials for Germany.[102][103]
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To ensure compliance, the Rhineland and bridgeheads east of the Rhine were to be occupied by Allied troops for fifteen years.[104] If Germany had not committed aggression, a staged withdrawal would take place; after five years, the Cologne bridgehead and the territory north of a line along the Ruhr would be evacuated. After ten years, the bridgehead at Coblenz and the territories to the north would be evacuated and after fifteen years remaining Allied forces would be withdrawn.[105] If Germany reneged on the treaty obligations, the bridgeheads would be reoccupied immediately.[106]
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Part I of the treaty, as per all the treaties signed during the Paris Peace Conference,[nb 3] was the Covenant of the League of Nations, which provided for the creation of the League, an organization for the arbitration of international disputes.[107] Part XIII organized the establishment of the International Labour Officer, to regulate hours of work, including a maximum working day and week; the regulation of the labour supply; the prevention of unemployment; the provision of a living wage; the protection of the worker against sickness, disease and injury arising out of his employment; the protection of children, young persons and women; provision for old age and injury; protection of the interests of workers when employed abroad; recognition of the principle of freedom of association; the organization of vocational and technical education and other measures.[108] The treaty also called for the signatories to sign or ratify the International Opium Convention.[109]
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The delegates of the Commonwealth and British Government had mixed thoughts on the treaty, with some seeing the French policy as being greedy and vindictive.[110][111] Lloyd George and his private secretary Philip Kerr believed in the treaty, although they also felt that the French would keep Europe in a constant state of turmoil by attempting to enforce the treaty.[110] Delegate Harold Nicolson wrote "are we making a good peace?", while General Jan Smuts (a member of the South African delegation) wrote to Lloyd-George, before the signing, that the treaty was unstable and declared "Are we in our sober senses or suffering from shellshock? What has become of Wilson's 14 points?" He wanted the Germans not be made to sign at the "point of the bayonet".[112][113] Smuts issued a statement condemning the treaty and regretting that the promises of "a new international order and a fairer, better world are not written in this treaty". Lord Robert Cecil said that many within the Foreign Office were disappointed by the treaty.[112] The treaty received widespread approval from the general public. Bernadotte Schmitt wrote that the "average Englishman ... thought Germany got only what it deserved" as a result of the treaty.[114] However, public opinion changed as German complaints mounted.[115]
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Prime Minister Ramsay MacDonald, following the German re-militarisation of the Rhineland in 1936, stated that he was "pleased" that the treaty was "vanishing", expressing his hope that the French had been taught a "severe lesson".[116]
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The Treaty of Versailles was an important step in the status of the British Dominions under international law. Australia, Canada, New Zealand and South Africa had each made significant contributions to the British war effort, but as separate countries, rather than as British colonies. India also made a substantial troop contribution, although under direct British control, unlike the Dominions. The four Dominions and India all signed the Treaty separately from Britain,[5] a clear recognition by the international community that the Dominions were no longer British colonies. "Their status defied exact analysis by both international and constitutional lawyers, but it was clear that they were no longer regarded simply as colonies of Britain."[117] By signing the Treaty individually, the four Dominions and India also were founding members of the League of Nations in their own right, rather than simply as part of the British Empire.
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The signing of the treaty was met with roars of approval, singing, and dancing from a crowd outside the Palace of Versailles. In Paris proper, people rejoiced at the official end of the war,[118] the return of Alsace and Lorraine to France, and that Germany had agreed to pay reparations.[119]
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While France ratified the treaty and was active in the League, the jubilant mood soon gave way to a political backlash for Clemenceau. The French Right saw the treaty as being too lenient and saw it as failing to achieve all of France's demands. Left-wing politicians attacked the treaty and Clemenceau for being too harsh (the latter turning into a ritual condemnation of the treaty, for politicians remarking on French foreign affairs, as late as August 1939). Marshal Ferdinand Foch stated "this (treaty) is not peace. It is an armistice for twenty years."; a criticism over the failure to annex the Rhineland and for compromising French security for the benefit of the United States and Britain.[120][114][115][119][121][122][123] When Clemenceau stood for election as President of France in January 1920, he was defeated.[123]
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Reaction in Italy to the treaty was extremely negative. The country had suffered high casualties, yet failed to achieve most of its major war goals, notably gaining control of the Dalmatian coast and Fiume. President Wilson rejected Italy's claims on the basis of "national self-determination." For their part, Britain and France—who had been forced in the war's latter stages to divert their own troops to the Italian front to stave off collapse—were disinclined to support Italy's position at the peace conference. Differences in negotiating strategy between Premier Vittorio Orlando and Foreign Minister Sidney Sonnino further undermined Italy's position at the conference. A furious Vittorio Orlando suffered a nervous collapse and at one point walked out of the conference (though he later returned). He lost his position as prime minister just a week before the treaty was scheduled to be signed, effectively ending his active political career. Anger and dismay over the treaty's provisions helped pave the way for the establishment of Benito Mussolini's dictatorship three years later.
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Portugal entered the war on the Allied side in 1916 primarily to ensure the security of its African colonies, which were threatened with seizure by both Britain and Germany. To this extent, she succeeded in her war aims. The treaty recognized Portuguese sovereignty over these areas and awarded her small portions of Germany's bordering overseas colonies. Otherwise, Portugal gained little at the peace conference. Her promised share of German reparations never materialized, and a seat she coveted on the executive council of the new League of Nations went instead to Spain—which had remained neutral in the war. In the end, Portugal ratified the treaty, but got little out of the war, which cost more than 8,000 Portuguese troops and as many as 100,000 of her African colonial subjects their lives.[124]
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After the Versailles conference, Democratic President Woodrow Wilson claimed that "at last the world knows America as the savior of the world!"[125] However, the Republican Party, led by Henry Cabot Lodge, controlled the US Senate after the election of 1918, and the senators were divided into multiple positions on the Versailles question. It proved possible to build a majority coalition, but impossible to build a two-thirds coalition that was needed to pass a treaty.[126]
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A discontent bloc of 12–18 "Irreconcilables", mostly Republicans but also representatives of the Irish and German Democrats, fiercely opposed the treaty. One block of Democrats strongly supported the Versailles Treaty, even with reservations added by Lodge. A second group of Democrats supported the treaty but followed Wilson in opposing any amendments or reservations. The largest bloc, led by Senator Lodge,[127] comprised a majority of the Republicans. They wanted a treaty with reservations, especially on Article 10, which involved the power of the League of Nations to make war without a vote by the US Congress.[128] All of the Irreconcilables were bitter enemies of President Wilson, and he launched a nationwide speaking tour in the summer of 1919 to refute them. However, Wilson collapsed midway with a serious stroke that effectively ruined his leadership skills.[129]
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The closest the treaty came to passage was on 19 November 1919, as Lodge and his Republicans formed a coalition with the pro-Treaty Democrats, and were close to a two-thirds majority for a Treaty with reservations, but Wilson rejected this compromise and enough Democrats followed his lead to end the chances of ratification permanently. Among the American public as a whole, the Irish Catholics and the German Americans were intensely opposed to the treaty, saying it favored the British.[130]
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After Wilson's presidency, his successor Republican President Warren G. Harding continued American opposition to the formation of the League of Nations. Congress subsequently passed the Knox–Porter Resolution bringing a formal end to hostilities between the United States and the Central Powers. It was signed into law by President Harding on 2 July 1921.[131][132] Soon after, the US–German Peace Treaty of 1921 was signed in Berlin on 25 August 1921, and two similar treaties were signed with Austria and Hungary on 24 and 29 August 1921, in Vienna and Budapest respectively.
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Wilson's former friend Edward Mandell House, present at the negotiations, wrote in his diary on 29 June 1919:
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I am leaving Paris, after eight fateful months, with conflicting emotions. Looking at the conference in retrospect, there is much to approve and yet much to regret. It is easy to say what should have been done, but more difficult to have found a way of doing it. To those who are saying that the treaty is bad and should never have been made and that it will involve Europe in infinite difficulties in its enforcement, I feel like admitting it. But I would also say in reply that empires cannot be shattered, and new states raised upon their ruins without disturbance. To create new boundaries is to create new troubles. The one follows the other. While I should have preferred a different peace, I doubt very much whether it could have been made, for the ingredients required for such a peace as I would have were lacking at Paris.[133]
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Many in China felt betrayed as the German territory in China was handed to Japan. Wellington Koo refused to sign the treaty and the Chinese delegation at the Paris Peace Conference was the only nation that did not sign the Treaty of Versailles at the signing ceremony. The sense of betrayal led to great demonstrations in China such as the May 4th movement. There was immense dissatisfaction with Duan Qirui’s government, which had secretly negotiated with the Japanese in order to secure loans to fund their military campaigns against the south. On 12 June 1919, the Chinese cabinet was forced to resign and the government instructed its delegation at Versailles not to sign the treaty.[134][135] As a result, relations with the West deteriorated.[136][137]
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On 29 April, the German delegation under the leadership of the Foreign Minister Ulrich Graf von Brockdorff-Rantzau arrived in Versailles. On 7 May, when faced with the conditions dictated by the victors, including the so-called "War Guilt Clause", von Brockdorff-Rantzau replied to Clemenceau, Wilson and Lloyd George: "We know the full brunt of hate that confronts us here. You demand from us to confess we were the only guilty party of war; such a confession in my mouth would be a lie."[138] Because Germany was not allowed to take part in the negotiations, the German government issued a protest against what it considered to be unfair demands, and a "violation of honour",[139] soon afterwards withdrawing from the proceedings of the peace conference.
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Germans of all political shades denounced the treaty—particularly the provision that blamed Germany for starting the war—as an insult to the nation's honor. They referred to the treaty as "the Diktat" since its terms were presented to Germany on a take-it-or-leave-it basis. Germany's first democratically elected head of government, Philipp Scheidemann, resigned rather than sign the treaty. In a passionate speech before the National Assembly on 12 May 1919, he called the treaty a "murderous plan" and exclaimed,
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—
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Which hand, trying to put us in chains like these, would not wither? The treaty is unacceptable.[140]
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After Scheidemann's resignation, a new coalition government was formed under Gustav Bauer. President Friedrich Ebert knew that Germany was in an impossible situation. Although he shared his countrymen's disgust with the treaty, he was sober enough to consider the possibility that the government would not be in a position to reject it. He believed that if Germany refused to sign the treaty, the Allies would invade Germany from the west—and there was no guarantee that the army would be able to make a stand in the event of an invasion. With this in mind, he asked Field Marshal Paul von Hindenburg if the army was capable of any meaningful resistance in the event the Allies resumed the war. If there was even the slightest chance that the army could hold out, Ebert intended to recommend against ratifying the treaty. Hindenburg—after prodding from his chief of staff, Wilhelm Groener—concluded the army could not resume the war even on a limited scale. However, rather than inform Ebert himself, he had Groener inform the government that the army would be in an untenable position in the event of renewed hostilities. Upon receiving this, the new government recommended signing the treaty. The National Assembly voted in favour of signing the treaty by 237 to 138, with five abstentions (there were 421 delegates in total). This result was wired to Clemenceau just hours before the deadline. Foreign minister Hermann Müller and colonial minister Johannes Bell travelled to Versailles to sign the treaty on behalf of Germany. The treaty was signed on 28 June 1919 and ratified by the National Assembly on 9 July by a vote of 209 to 116.[141]
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The Japanese felt they had been treated unfairly by the Allies, notably by the United States, France, and Great Britain, in the Treaty, for that they got as what they saw as not enough in return for their efforts against the German Empire during the course of the war. Japan attempted to amend Racial Equality Proposal in the treaty, which would require racial equality among members of the League of Nations. The amendment had broad support, but was effectively declined when it was rejected by the United States and Australia. Japanese nationalism grew in response to their growing mistrust of Western powers. As a result, Japan became alienated among world powers, allowing it to pursue its own strategic interests in Asia and the Pacific.
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On 5 May 1921, the reparation Commission established the London Schedule of Payments and a final reparation sum of 132 billion gold marks to be demanded of all the Central Powers. This was the public assessment of what the Central Powers combined could pay, and was also a compromise between Belgian, British, and French demands and assessments. Furthermore, the Commission recognized that the Central Powers could pay little and that the burden would fall upon Germany. As a result, the sum was split into different categories, of which Germany was only required to pay 50 billion gold marks (US$12.5 billion); this being the genuine assessment of the Commission on what Germany could pay, and allowed the Allied powers to save face with the public by presenting a higher figure. Furthermore, payments made between 1919 and 1921 were taken into account reducing the sum to 41 billion gold marks.[142][143]
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In order to meet this sum, Germany could pay in cash or kind: coal, timber, chemical dyes, pharmaceuticals, livestock, agricultural machines, construction materials, and factory machinery. Germany's assistance with the restoration of the university library of Leuven, which was destroyed by the Germans on 25 August 1914, was also credited towards the sum. Territorial changes imposed by the treaty were also factored in.[144][145] The payment schedule required US$250 million within twenty-five days and then US$500 million annually, plus 26 per cent of the value of German exports. The German Government was to issue bonds at five per cent interest and set up a sinking fund of one per cent to support the payment of reparations.[146]
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In February and March 1920, the Schleswig Plebiscites were held. The people of Schleswig were presented with only two choices: Danish or German sovereignty. The northern Danish-speaking area voted for Denmark while the southern German-speaking area voted for Germany, resulting in the province being partitioned.[68] The East Prussia plebiscite was held on 11 July 1920. There was a 90% turn out with 99.3% of the population wishing to remain with Germany. Further plebiscites were held in Eupen, Malmedy, and Prussian Moresnet. On 20 September 1920, the League of Nations allotted these territories to Belgium. These latter plebiscites were followed by a boundary commission in 1922, followed by the new Belgian-German border being recognized by the German Government on 15 December 1923.[147] The transfer of the Hultschin area, of Silesia, to Czechoslovakia was completed on 3 February 1921.[148]
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Following the implementation of the treaty, Upper Silesia was initially governed by Britain, France, and Italy.[149] Between 1919 and 1921, three major outbreaks of violence took place between German and Polish civilians, resulting in German and Polish military forces also becoming involved.[149][150] In March 1921, the Inter-Allied Commission held the Upper Silesia plebiscite, which was peaceful despite the previous violence. The plebiscite resulted in c. 60 per cent of the population voting for the province to remain part of Germany.[151] Following the vote, the League of Nations debated the future of the province.[152] In 1922, Upper Silesia was partitioned: Oppeln, in the north-west, remained with Germany while Silesia Province, in the south-east, was transferred to Poland.[149]
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Memel remained under the authority of the League of Nations, with a French military garrison, until January 1923.[153] On 9 January 1923, Lithuanian forces invaded the territory during the Klaipėda Revolt.[154] The French garrison withdrew, and in February the Allies agreed to attach Memel as an "autonomous territory" to Lithuania.[153] On 8 May 1924, after negotiations between the Lithuanian Government and the Conference of Ambassadors and action by the League of Nations, the annexation of Memel was ratified.[154] Lithuania accepted the Memel Statute, a power-sharing arrangement to protect non-Lithuanians in the territory and its autonomous status while responsibility for the territory remained with the great powers. The League of Nations mediated between the Germans and Lithuanians on a local level, helping the power-sharing arrangement last until 1939.[153]
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On 13 January 1935, 15 years after the Saar Basin had been placed under the protection of the League of Nations, a plebiscite was held to determine the future of the area. 528,105 votes were cast, with 477,119 votes (90 per cent of the ballot) in favour of union with Germany; 46,613 votes were cast for the status quo, and 2,124 votes for union with France. The region returned to German sovereignty on 1 March 1935. When the result was announced 4,100 people, including 800 refugees from Germany fled to France.[65][155]
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In late 1918, American, Belgian, British, and French troops entered the Rhineland to enforce the armistice.[28] Prior to the treaty, the occupation force stood at roughly 740,000 men.[156][157][158][159] Following the signing of the peace treaty, the numbers drastically decreased and by 1926 the occupation force numbered only 76,000 men.[160] As part of the 1929 negotiations that would become the Young Plan, Stresemann and Aristide Briand negotiated the early withdrawal of Allied forces from the Rhineland.[161] On 30 June 1930, after speeches and the lowering of flags, the last troops of the Anglo-French-Belgian occupation force withdrew from Germany.[162]
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Belgium maintained an occupation force of roughly 10,000 troops throughout the initial years.[163] This figure fell to 7,102 by 1926, and continued to fall as a result of diplomatic developments.[164][165]
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The British Second Army, with some 275,000 veteran soldiers, entered Germany in late 1918.[166][158] In March 1919, this force became the British Army of the Rhine (BAOR). The total number of troops committed to the occupation rapidly dwindled as veteran soldiers were demobilized, and were replaced by inexperienced men who had finished basic training following the cessation of hostilities.[167] By 1920, the BAOR consisted of only 40,594 men and the following year had been further reduced to 12,421. The size of the BAOR fluctuated over the following years, but never rose above 9,000 men.[168] The British did not adhere to all obligated territorial withdrawals as dictated by Versailles, on account of Germany not meeting her own treaty obligations.[169] A complete withdrawal was considered, but rejected in order to maintain a presence to continue acting as a check on French ambitions and prevent the establishment of an autonomous Rhineland Republic.[170]
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The French Army of the Rhine was initially 250,000 men strong, including at a peak 40,000 African colonial troops (Troupes coloniales). By 1923, the French occupation force had decreased to roughly 130,000 men, including 27,126 African troops.[171] The troop numbers peaked again at 250,000 during the occupation of the Ruhr, before decreasing to 60,000 men by 1926.[164][172] Germans viewed the use of French colonial troops as a deliberate act of humiliation, and used their presence to create a propaganda campaign dubbed the Black shame. This campaign lasted throughout the 1920s and 30s, although peaked in 1920 and 1921. For example, a 1921 German Government memo detailed 300 acts of violence from colonial troops, which included 65 murders and 170 sexual offenses. Historical consensus is that the charges were exaggerated for political and propaganda purposes, and that the colonial troops behaved far better than their white counterparts.[171] An estimated 500–800 Rhineland Bastards were born as a result of fraternization between colonial troops and German women, and who would later be persecuted.[173]
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The United States Third Army entered Germany with 200,000 men. In June 1919, the Third Army demobilized and by 1920 the US occupation force had been reduced to 15,000 men.[174][156] Wilson further reduced the garrison to 6,500 men, prior to the inauguration of Warren G. Harding in 1921.[156] On 7 January 1923, after the Franco–Belgian occupation of the Ruhr, the US senate legislated the withdrawal of the remaining force.[175][176] On 24 January, the American garrison started their withdrawal from the Rhineland, with the final troops leaving in early February.[177]
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The German economy was so weak that only a small percentage of reparations was paid in hard currency. Nonetheless, even the payment of this small percentage of the original reparations (132 billion gold marks) still placed a significant burden on the German economy. Although the causes of the devastating post-war hyperinflation are complex and disputed, Germans blamed the near-collapse of their economy on the treaty, and some economists estimated that the reparations accounted for as much as one-third of the hyper-inflation.[178]
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In March 1921, French and Belgian troops occupied Duisburg, Düsseldorf, and other areas which formed part of the demilitarized Rhineland, according to the Treaty of Versailles. In January 1923, French and Belgian forces occupied the rest of the Ruhr area as a reprisal after Germany failed to fulfill reparation payments demanded by the Versailles Treaty. The German government answered with "passive resistance", which meant that coal miners and railway workers refused to obey any instructions by the occupation forces. Production and transportation came to a standstill, but the financial consequences contributed to German hyperinflation and completely ruined public finances in Germany. Consequently, passive resistance was called off in late 1923. The end of passive resistance in the Ruhr allowed Germany to undertake a currency reform and to negotiate the Dawes Plan, which led to the withdrawal of French and Belgian troops from the Ruhr Area in 1925.[179]
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In 1920, the head of the Reichswehr Hans von Seeckt clandestinely re-established the General Staff, by expanding the Truppenamt (Troop Office); purportedly a human resources section of the army.[180][181] In March, 18,000 German troops entered the Rhineland under the guise of attempting to quell possible unrest by communists and in doing so violated the demilitarized zone. In response, French troops advanced further into Germany until the German troops withdrew.[182]
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German officials conspired systematically to evade the clauses of the treaty, by failing to meet disarmament deadlines, refusing Allied officials access to military facilities, and maintaining and hiding weapon production.[182] As the treaty did not ban German companies from producing war material outside of Germany, companies moved to the Netherlands, Switzerland, and Sweden. Bofors was bought by Krupp, and in 1921 German troops were sent to Sweden to test weapons.[183] The establishment of diplomatic ties with the Soviet Union, via the Genoa Conference and Treaty of Rapallo, was also used to circumvent the Treaty of Versailles. Publicly, these diplomatic exchanges were largely in regards to trade and future economic cooperation. However, secret military clauses were included that allowed for Germany to develop weapons inside the Soviet Union. Furthermore, it allowed for Germany to establish three training areas for aviation, chemical and tank warfare.[184][185][186][187] In 1923, the British newspaper The Times made several claims about the state of the German Armed Forces: that it had equipment for 800,000 men, was transferring army staff to civilian positions in order to obscure their real duties, and warned of the militarization of the German police force by the exploitation the Krümper system.[188][nb 4]
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The Weimar Government also funded domestic rearmament programs, which were covertly funded with the money camouflaged in "X-budgets", worth up to an additional 10% of the disclosed military budget.[190] By 1925, German companies had begun to design tanks and modern artillery. During the year, over half of Chinese arms imports were German and worth 13 million Reichsmarks. In January 1927, following the withdrawal of the Allied disarmament committee, Krupps ramped up production of armor plate and artillery.[191][192][nb 5] Production increased so that by 1937, military exports had increased to 82,788,604 Reichsmarks.[191][192] Production was not the only violation: "Volunteers" were rapidly passed through the army to make a pool of trained reserves, and paramilitary organizations were encouraged with the illegally militarized police. Non-commissioned officers (NCOs) were not limited by the treaty, thus this loophole was exploited and as such the number of NCOs were vastly in excess to the number needed by the Reichswehr.[193]
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In December 1931, the Reichswehr finalized a second rearmament plan that called for 480 million Reichsmarks to be spent over the following five years: this program sought to provide Germany the capability of creating and supplying a defensive force of 21 divisions supported by aircraft, artillery, and tanks. This coincided with a 1 billion Reichsmark programme that planned for additional industrial infrastructure that would be able to permanently maintain this force. As these programs did not require an expansion of the military, they were nominally legal.[194] On 7 November 1932, the Reich Minister of Defense Kurt von Schleicher authorized the illegal Umbau Plan for a standing army of 21 divisions based on 147,000 professional soldiers and a large militia.[194] Later in the year at the World Disarmament Conference, Germany withdrew to force France and Britain to accept German equality of status.[194] London attempted to get Germany to return with the promise of all nations maintaining an equality in armaments and security. The British later proposed and agreed to an increase in the Reichswehr to 200,000 men, and for Germany to have an air force half the size of the French. It was also negotiated for the French Army to be reduced.[195]
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In October 1933, following the rise of Adolf Hitler and the founding of Nazi regime, Germany withdrew from League of Nations and the World Disarmament Conference. In March 1935, Germany reintroduced conscription followed by an open rearmament programme, the official unveiling of the Luftwaffe (air force), and signed the Anglo-German Naval Agreement that allowed a surface fleet 35% of the size of the Royal Navy.[196][197][198] The resulting rearmament programs was allotted 35 billion Reichsmarks over an eight-year period.[199]
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On 7 March 1936, German troops entered and remilitarized the Rhineland.[200] On 12 March 1938, following German pressure to the collapse the Austrian Government, German troops crossed into Austria and the following day Hitler announced the Anschluss: the annexation of Austria by Germany.[201] The following year, on 23 March 1939, Germany annexed Memel from Lithuania.[202]
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Historians are split on the impact of the treaty. Some saw it as a good solution in a difficult time, others saw it as a disastrous measure that would anger the Germans to seek revenge. The actual impact of the treaty is also disputed.[203]
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In his book The Economic Consequences of the Peace, John Maynard Keynes referred to the Treaty of Versailles as a "Carthaginian peace", a misguided attempt to destroy Germany on behalf of French revanchism, rather than to follow the fairer principles for a lasting peace set out in President Woodrow Wilson's Fourteen Points, which Germany had accepted at the armistice. He stated: "I believe that the campaign for securing out of Germany the general costs of the war was one of the most serious acts of political unwisdom for which our statesmen have ever been responsible."[204] Keynes had been the principal representative of the British Treasury at the Paris Peace Conference, and used in his passionate book arguments that he and others (including some US officials) had used at Paris.[205] He believed the sums being asked of Germany in reparations were many times more than it was possible for Germany to pay, and that these would produce drastic instability.[206]
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French economist Étienne Mantoux disputed that analysis. During the 1940s, Mantoux wrote a posthumously published book titled The Carthaginian Peace, or the Economic Consequences of Mr. Keynes in an attempt to rebut Keynes' claims. More recently economists have argued that the restriction of Germany to a small army saved it so much money it could afford the reparations payments.[207]
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It has been argued (for instance by historian Gerhard Weinberg in his book A World at Arms[208]) that the treaty was in fact quite advantageous to Germany. The Bismarckian Reich was maintained as a political unit instead of being broken up, and Germany largely escaped post-war military occupation (in contrast to the situation following World War II). In a 1995 essay, Weinberg noted that with the disappearance of Austria-Hungary and with Russia withdrawn from Europe, that Germany was now the dominant power in Eastern Europe.[209]
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The British military historian Correlli Barnett claimed that the Treaty of Versailles was "extremely lenient in comparison with the peace terms that Germany herself, when she was expecting to win the war, had had in mind to impose on the Allies". Furthermore, he claimed, it was "hardly a slap on the wrist" when contrasted with the Treaty of Brest-Litovsk that Germany had imposed on a defeated Russian SFSR in March 1918, which had taken away a third of Russia's population (albeit mostly of non-Russian ethnicity), one-half of Russia's industrial undertakings and nine-tenths of Russia's coal mines, coupled with an indemnity of six billion marks.[210] Eventually, even under the "cruel" terms of the Treaty of Versailles, Germany's economy had been restored to its pre-war status.
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Barnett also claims that, in strategic terms, Germany was in fact in a superior position following the Treaty than she had been in 1914. Germany's eastern frontiers faced Russia and Austria, who had both in the past balanced German power. Barnett asserts that its post-war eastern borders were safer, because the former Austrian Empire fractured after the war into smaller, weaker states, Russia was wracked by revolution and civil war, and the newly restored Poland was no match for even a defeated Germany. In the West, Germany was balanced only by France and Belgium, both of which were smaller in population and less economically vibrant than Germany. Barnett concludes by saying that instead of weakening Germany, the treaty "much enhanced" German power.[211] Britain and France should have (according to Barnett) "divided and permanently weakened" Germany by undoing Bismarck's work and partitioning Germany into smaller, weaker states so it could never have disrupted the peace of Europe again.[212] By failing to do this and therefore not solving the problem of German power and restoring the equilibrium of Europe, Britain "had failed in her main purpose in taking part in the Great War".[213]
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The British historian of modern Germany, Richard J. Evans, wrote that during the war the German right was committed to an annexationist program which aimed at Germany annexing most of Europe and Africa. Consequently, any peace treaty that did not leave Germany as the conqueror would be unacceptable to them.[214] Short of allowing Germany to keep all the conquests of the Treaty of Brest-Litovsk, Evans argued that there was nothing that could have been done to persuade the German right to accept Versailles.[214] Evans further noted that the parties of the Weimar Coalition, namely the Social Democratic Party of Germany (SPD), the social liberal German Democratic Party (DDP) and the Christian democratic Centre Party, were all equally opposed to Versailles, and it is false to claim as some historians have that opposition to Versailles also equalled opposition to the Weimar Republic.[214] Finally, Evans argued that it is untrue that Versailles caused the premature end of the Republic, instead contending that it was the Great Depression of the early 1930s that put an end to German democracy. He also argued that Versailles was not the "main cause" of National Socialism and the German economy was "only marginally influenced by the impact of reparations".[214]
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Ewa Thompson points out that the treaty allowed numerous nations in Central and Eastern Europe to liberate themselves from oppressive German rule, a fact that is often neglected by Western historiography, more interested in understanding the German point of view. In nations that found themselves free as the result of the treaty—such as Poles or Czechs—it is seen as a symbol of recognition of wrongs committed against small nations by their much larger aggressive neighbours.[215]
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Resentment caused by the treaty sowed fertile psychological ground for the eventual rise of the Nazi Party.[216] But the German-born Australian historian Jürgen Tampke argued that it was "a perfidious distortion of history" to argue that the terms prevented the growth of democracy in Germany and aided the growth of the Nazi party; saying that its terms were not as punitive as often held and that German hyper-inflation in the 1920s was partly a deliberate policy to minimise the cost of repatriations. As an example of the arguments against the Versaillerdiktat he quotes Elizabeth Wiskemann who heard two officer's widows in Wiesbaden complaining that "with their stocks of linen depleted they had to have their linen washed once a fortnight (every two weeks) instead of once a month!"[217]
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The German historian Detlev Peukert wrote that Versailles was far from the impossible peace that most Germans claimed it was during the interwar period, and though not without flaws was actually quite reasonable to Germany.[218] Rather, Peukert argued that it was widely believed in Germany that Versailles was a totally unreasonable treaty, and it was this "perception" rather than the "reality" of the Versailles treaty that mattered.[218] Peukert noted that because of the "millenarian hopes" created in Germany during World War I when for a time it appeared that Germany was on the verge of conquering all of Europe, any peace treaty the Allies of World War I imposed on the defeated German Reich were bound to create a nationalist backlash, and there was nothing the Allies could have done to avoid that backlash.[218] Having noted that much, Peukert commented that the policy of rapprochement with the Western powers that Gustav Stresemann carried out between 1923 and 1929 were constructive policies that might have allowed Germany to play a more positive role in Europe, and that it was not true that German democracy was doomed to die in 1919 because of Versailles.[218] Finally, Peukert argued that it was the Great Depression and the turn to a nationalist policy of autarky within Germany at the same time that finished off the Weimar Republic, not the Treaty of Versailles.[218]
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French historian Raymond Cartier states that millions of Germans in the Sudetenland and in Posen-West Prussia were placed under foreign rule in a hostile environment, where harassment and violation of rights by authorities are documented.[219] Cartier asserts that, out of 1,058,000 Germans in Posen-West Prussia in 1921, 758,867 fled their homelands within five years due to Polish harassment.[219] These sharpening ethnic conflicts would lead to public demands to reattach the annexed territory in 1938 and become a pretext for Hitler's annexations of Czechoslovakia and parts of Poland.[219]
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According to David Stevenson, since the opening of French archives, most commentators have remarked on French restraint and reasonableness at the conference, though Stevenson notes that "[t]he jury is still out", and that "there have been signs that the pendulum of judgement is swinging back the other way."[220]
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The Treaty of Versailles resulted in the creation of several thousand miles of new boundaries, with maps playing a central role in the negotiations at Paris.[221][222] The plebiscites initiated due to the treaty have drawn much comment. Historian Robert Peckham wrote that the issue of Schleswig "was premised on a gross simplification of the region's history. ... Versailles ignored any possibility of there being a third way: the kind of compact represented by the Swiss Federation; a bilingual or even trilingual Schleswig-Holsteinian state" or other options such as "a Schleswigian state in a loose confederation with Denmark or Germany, or an autonomous region under the protection of the League of Nations."[223] In regards to the East Prussia plebiscite, historian Richard Blanke wrote that "no other contested ethnic group has ever, under un-coerced conditions, issued so one-sided a statement of its national preference".[223] Richard Debo wrote "both Berlin and Warsaw believed the Soviet invasion of Poland had influenced the East Prussian plebiscites. Poland appeared so close to collapse that even Polish voters had cast their ballots for Germany".[224]
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In regards to the Silesian plebiscite, Blanke observed "given that the electorate was at least 60% Polish-speaking, this means that about one 'Pole' in three voted for Germany" and "most Polish observers and historians" have concluded that the outcome of plebiscite was due to "unfair German advantages of incumbency and socio-economic position". Blanke alleged "coercion of various kinds even in the face of an allied occupation regime" occurred, and that Germany granted votes to those "who had been born in Upper Silesia but no longer resided there". Blanke concluded that despite these protests "there is plenty of other evidence, including Reichstag election results both before and after 1921 and the large-scale emigration of Polish-speaking Upper Silesians to Germany after 1945, that their identification with Germany in 1921 was neither exceptional nor temporary" and "here was a large population of Germans and Poles—not coincidentally, of the same Catholic religion—that not only shared the same living space but also came in many cases to see themselves as members of the same national community".[151] Prince Eustachy Sapieha, the Polish Minister of Foreign Affairs, alleged that Soviet Russia "appeared to be intentionally delaying negotiations" to end the Polish-Soviet War "with the object of influencing the Upper Silesian plebiscite".[224] Once the region was partitioned, both "Germany and Poland attempted to 'cleanse' their shares of Upper Silesia" via oppression resulting in Germans migrating to Germany and Poles migrating to Poland. Despite the oppression and migration, Opole Silesia "remained ethnically mixed."[149]
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Frank Russell wrote that, in regards to the Saar plebiscite, the inhabitants "were not terrorized at the polls" and the "totalitarian [Nazi] German regime was not distasteful to most of the Saar inhabitants and that they preferred it even to an efficient, economical, and benevolent international rule." When the outcome of the vote became known, 4,100 (including 800 refugees who had previously fled Germany) residents fled over the border into France.[155]
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During the formulation of the treaty, the British wanted Germany to abolish conscription but be allowed to maintain a volunteer Army. The French wanted Germany to maintain a conscript army of up to 200,000 men in order to justify their own maintenance of a similar force. Thus the treaty's allowance of 100,000 volunteers was a compromise between the British and French positions. Germany, on the other hand, saw the terms as leaving them defenseless against any potential enemy.[225] Bernadotte Everly Schmitt wrote that "there is no reason to believe that the Allied governments were insincere when they stated at the beginning of Part V of the Treaty ... that in order to facilitate a general reduction of the armament of all nations, Germany was to be required to disarm first." A lack of American ratification of the treaty or joining the League of Nations left France unwilling to disarm, which resulted in a German desire to rearm.[114] Schmitt argued "had the four Allies remained united, they could have forced Germany really to disarm, and the German will and capacity to resist other provisions of the treaty would have correspondingly diminished."[226]
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Max Hantke and Mark Spoerer wrote "military and economic historians [have] found that the German military only insignificantly exceeded the limits" of the treaty prior to 1933.[190] Adam Tooze concurred, and wrote "To put this in perspective, annual military spending by the Weimar Republic was counted not in the billions but in the hundreds of millions of Reichsmarks"; for example, the Weimar Republic's 1931 program of 480 million Reichsmarks over five years compared to the Nazi Government's 1933 plan to spend 4.4 billion Reichsmarks per year.[227] P. M. H. Bell argued that the British Government was aware of later Weimar rearming, and lent public respectability to the German efforts by not opposing them,[195] an opinion shared by Churchill.[228] Norman Davies wrote that "a curious oversight" of the military restrictions were that they "did not include rockets in its list of prohibited weapons", which provided Wernher von Braun an area to research within eventually resulting in "his break [that] came in 1943" leading to the development of the V-2 rocket.[229]
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The Treaty created much resentment in Germany, which was exploited by Adolf Hitler in his rise to power at the helm of Nazi Germany. Central to this was belief in the stab-in-the-back myth, which held that the German army had not lost the war and had been betrayed by the Weimar Republic, who negotiated an unnecessary surrender. The Great Depression exacerbated the issue, and led to a collapse of the German economy. Though the treaty may not have caused the crash, it was a convenient scapegoat. Germans viewed the treaty as a humiliation, and eagerly listened to Hitler's oratory which blamed the treaty for Germany's ills. Hitler promised to reverse the depredations of the Allied powers and recover Germany's lost territory and pride, which has led to the treaty being cited as a cause of World War II.[230][231][232][233]
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1 |
+
A treaty is a formal written agreement entered into by actors in international law, namely sovereign states and international organizations.[1] A treaty may also be known as an international agreement, protocol, covenant, convention, pact, or exchange of letters, among other terms. Regardless of terminology, only instruments that are binding upon the parties are considered treaties subject to international law.[2]
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Treaties can be loosely compared to contracts, in that the parties willingly assume binding obligations among themselves, and any party that breaches its obligations can be held liable under international law.[3][4] Treaties vary significantly in substance and complexity, and may govern a wide variety of matters, such as territorial boundaries, trade and commerce, political alliances, and more.
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International law on treaties have mostly been codified by the Vienna Convention on the Law of Treaties, which sets forth the rules and procedures for creating, enforcing, amending, and interpreting treaties.[5] As one of the earliest manifestations of international relations, treaties are recognized as a primary source of international law.[6]
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A treaty is an official, express written agreement that states use to legally bind themselves.[7] A treaty is an official document that expresses that agreement in words; it is also the objective outcome of a ceremonial occasion which acknowledges the parties and their defined relationships. There is no prerequisite of academic accreditation or cross-professional contextual knowledge required to publish a treaty.
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Since the late 19th century, most treaties have followed a fairly consistent format. A treaty typically begins with a preamble describing the "High Contracting Parties" and their shared objectives in executing the treaty, as well as summarizing any underlying events (such as the aftermath of a war in the case of a peace treaty). Modern preambles are sometimes structured as a single very long sentence formatted into multiple paragraphs for readability, in which each of the paragraphs begins with a gerund (desiring, recognizing, having, etc.).
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The High Contracting Parties; referred to as either the official title of the head of state (but not including the personal name), e.g. His Majesty The King of X or His Excellency The President of Y, or alternatively in the form of " Government of Z"; are enumerated, and along with the full names and titles of their plenipotentiary representatives, and a boilerplate clause about how their representatives have communicated (or exchanged) their full powers (i.e., the official documents appointing them to act on behalf of their respective high contracting party) and found them in good or proper form. However, under the Vienna Convention on the Law of Treaties if the representative is the head of state, head of government or minister of foreign affairs, no special document is needed, as holding such high office is sufficient.
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12 |
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The end of the preamble and the start of the actual agreement is often signaled by the words "have agreed as follows".
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After the preamble comes numbered articles, which contain the substance of the parties' actual agreement. Each article heading usually encompasses a paragraph. A long treaty may further group articles under chapter headings.
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Modern treaties, regardless of subject matter, usually contain articles governing where the final authentic copies of the treaty will be deposited and how any subsequent disputes as to their interpretation will be peacefully resolved.
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18 |
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19 |
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The end of a treaty, the eschatocol (or closing protocol), is often signaled by a clause like "in witness whereof" or "in faith whereof", the parties have affixed their signatures, followed by the words "DONE at", then the site(s) of the treaty's execution and the date(s) of its execution. The date is typically written in its most formal, non-numerical form. For example, the Charter of the United Nations was "DONE at the city of San Francisco the twenty-sixth day of June, one thousand nine hundred and forty-five". If the treaty is executed in multiple copies in different languages, that fact is always noted and is followed by a stipulation that the versions in different languages are equally authentic.
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20 |
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The signatures of the parties' representatives follow at the very end. When the text of a treaty is later reprinted, such as in a collection of treaties currently in effect, an editor will often append the dates on which the respective parties ratified the treaty and on which it came into effect for each party.
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Bilateral treaties are concluded between two states or entities.[8] It is possible for a bilateral treaty to have more than two parties; for example, each of the bilateral treaties between Switzerland and the European Union (EU) has seventeen parties: The parties are divided into two groups, the Swiss ("on the one part") and the EU and its member states ("on the other part"). The treaty establishes rights and obligations between the Swiss and the EU and the member states severally—it does not establish any rights and obligations amongst the EU and its member states.[citation needed]
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A multilateral treaty is concluded among several countries, establishing rights and obligations between each party and every other party.[8] Multilateral treaties may be regional or may involve states across the world.[9] Treaties of "mutual guarantee" are international compacts, e.g., the Treaty of Locarno which guarantees each signatory against attack from another.[8]
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Reservations are essentially caveats to a state's acceptance of a treaty. Reservations are unilateral statements purporting to exclude or to modify the legal obligation and its effects on the reserving state.[10] These must be included at the time of signing or ratification, i.e. "a party cannot add a reservation after it has already joined a treaty". Article 19 of the Vienna Convention on the law of Treaties in 1969.
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Originally, international law was unaccepting of treaty reservations, rejecting them unless all parties to the treaty accepted the same reservations. However, in the interest of encouraging the largest number of states to join treaties, a more permissive rule regarding reservations has emerged. While some treaties still expressly forbid any reservations, they are now generally permitted to the extent that they are not inconsistent with the goals and purposes of the treaty.
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30 |
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31 |
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When a state limits its treaty obligations through reservations, other states party to that treaty have the option to accept those reservations, object to them, or object and oppose them. If the state accepts them (or fails to act at all), both the reserving state and the accepting state are relieved of the reserved legal obligation as concerns their legal obligations to each other (accepting the reservation does not change the accepting state's legal obligations as concerns other parties to the treaty). If the state opposes, the parts of the treaty affected by the reservation drop out completely and no longer create any legal obligations on the reserving and accepting state, again only as concerns each other. Finally, if the state objects and opposes, there are no legal obligations under that treaty between those two state parties whatsoever. The objecting and opposing state essentially refuses to acknowledge the reserving state is a party to the treaty at all.[11]
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33 |
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There are three ways an existing treaty can be amended. First, a formal amendment requires State parties to the treaty to go through the ratification process all over again. The re-negotiation of treaty provisions can be long and protracted, and often some parties to the original treaty will not become parties to the amended treaty. When determining the legal obligations of states, one party to the original treaty and one party to the amended treaty, the states will only be bound by the terms they both agreed upon. Treaties can also be amended informally by the treaty executive council when the changes are only procedural, technical change in customary international law can also amend a treaty, where state behavior evinces a new interpretation of the legal obligations under the treaty. Minor corrections to a treaty may be adopted by a procès-verbal; but a procès-verbal is generally reserved for changes to rectify obvious errors in the text adopted, i.e. where the text adopted does not correctly reflect the intention of the parties adopting it.
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35 |
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In international law and international relations, a protocol is generally a treaty or international agreement that supplements a previous treaty or international agreement. A protocol can amend the previous treaty, or add additional provisions. Parties to the earlier agreement are not required to adopt the protocol. Sometimes this is made clearer by calling it an "optional protocol", especially where many parties to the first agreement do not support the protocol.
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Some examples: the United Nations Framework Convention on Climate Change (UNFCCC) established a framework for the development of binding greenhouse gas emission limits, while the Kyoto Protocol contained the specific provisions and regulations later agreed upon.
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Treaties may be seen as 'self-executing', in that merely becoming a party puts the treaty and all of its obligations in action. Other treaties may be non-self-executing and require 'implementing legislation'—a change in the domestic law of a state party that will direct or enable it to fulfill treaty obligations. An example of a treaty requiring such legislation would be one mandating local prosecution by a party for particular crimes.
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The division between the two is often not clear and is often politicized in disagreements within a government over a treaty, since a non-self-executing treaty cannot be acted on without the proper change in domestic law. If a treaty requires implementing legislation, a state may be in default of its obligations by the failure of its legislature to pass the necessary domestic laws.
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The language of treaties, like that of any law or contract, must be interpreted when the wording does not seem clear or it is not immediately apparent how it should be applied in a perhaps unforeseen circumstance. The Vienna Convention states that treaties are to be interpreted "in good faith" according to the "ordinary meaning given to the terms of the treaty in their context and in the light of its object and purpose". International legal experts also often invoke the 'principle of maximum effectiveness,' which interprets treaty language as having the fullest force and effect possible to establish obligations between the parties.
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No one party to a treaty can impose its particular interpretation of the treaty upon the other parties. Consent may be implied, however, if the other parties fail to explicitly disavow that initially unilateral interpretation, particularly if that state has acted upon its view of the treaty without complaint. Consent by all parties to the treaty to a particular interpretation has the legal effect of adding another clause to the treaty – this is commonly called an 'authentic interpretation'.
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International tribunals and arbiters are often called upon to resolve substantial disputes over treaty interpretations. To establish the meaning in context, these judicial bodies may review the preparatory work from the negotiation and drafting of the treaty as well as the final, signed treaty itself.
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One significant part of treaty-making is that signing a treaty implies a recognition that the other side is a sovereign state and that the agreement being considered is enforceable under international law. Hence, nations can be very careful about terming an agreement to be a treaty. For example, within the United States, agreements between states are compacts and agreements between states and the federal government or between agencies of the government are memoranda of understanding.
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Another situation can occur when one party wishes to create an obligation under international law, but the other party does not. This factor has been at work with respect to discussions between North Korea and the United States over security guarantees and nuclear proliferation.
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The definition of the English word 'Treaty' varies depending on the professional context(s).
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Treaties are not necessarily permanently binding upon the signatory parties. As obligations in international law are traditionally viewed as arising only from the consent of states, many treaties expressly allow a state to withdraw as long as it follows certain procedures of notification. For example, the Single Convention on Narcotic Drugs provides that the treaty will terminate if, as a result of denunciations, the number of parties falls below 40. Many treaties expressly forbid withdrawal. Article 56 of the Vienna Convention on the Law of Treaties provides that where a treaty is silent over whether or not it can be denounced there is a rebuttable presumption that it cannot be unilaterally denounced unless:
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The possibility of withdrawal depends on the terms of the treaty and its travaux preparatory. It has, for example, been held that it is not possible to withdraw from the International Covenant on Civil and Political Rights. When North Korea declared its intention to do this the Secretary-General of the United Nations, acting as registrar, said that original signatories of the ICCPR had not overlooked the possibility of explicitly providing for withdrawal, but rather had deliberately intended not to provide for it. Consequently, withdrawal was not possible.[12]
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In practice, because of sovereignty, any state can purport to withdraw from any treaty at any time, and cease to abide by its terms. The question of whether this is lawful can be regarded as the success or failure to anticipate community acquiescence or enforcement, that is, how other states will react; for instance, another state might impose sanctions or go to war over a treaty violation.
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If a state party's withdrawal is successful, its obligations under that treaty are considered terminated, and withdrawal by one party from a bilateral treaty terminates the treaty. When a state withdraws from a multilateral treaty, that treaty will still otherwise remain in force among the other parties, unless, it otherwise should or could be interpreted as agreed upon between the remaining states parties to the treaty.[citation needed]
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If a party has materially violated or breached its treaty obligations, the other parties may invoke this breach as grounds for temporarily suspending their obligations to that party under the treaty. A material breach may also be invoked as grounds for permanently terminating the treaty itself.[13]
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A treaty breach does not automatically suspend or terminate treaty relations, however. It depends on how the other parties regard the breach and how they resolve to respond to it. Sometimes treaties will provide for the seriousness of a breach to be determined by a tribunal or other independent arbiter.[14] An advantage of such an arbiter is that it prevents a party from prematurely and perhaps wrongfully suspending or terminating its own obligations due to another's an alleged material breach.
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Treaties sometimes include provisions for self-termination, meaning that the treaty is automatically terminated if certain defined conditions are met. Some treaties are intended by the parties to be only temporarily binding and are set to expire on a given date. Other treaties may self-terminate if the treaty is meant to exist only under certain conditions.[15]
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A party may claim that a treaty should be terminated, even absent an express provision, if there has been a fundamental change in circumstances. Such a change is sufficient if unforeseen, if it undermined the “essential basis” of consent by a party if it radically transforms the extent of obligations between the parties, and if the obligations are still to be performed. A party cannot base this claim on change brought about by its own breach of the treaty. This claim also cannot be used to invalidate treaties that established or redrew political boundaries.[15]
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There are several reasons an otherwise valid and agreed upon treaty may be rejected as a binding international agreement, most of which involve problems created at the formation of the treaty.[citation needed] For example, the serial Japan-Korea treaties of 1905, 1907 and 1910 were protested;[16] and they were confirmed as "already null and void" in the 1965 Treaty on Basic Relations between Japan and the Republic of Korea.[17]
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A party's consent to a treaty is invalid if it had been given by an agent or body without power to do so under that state's domestic laws. States are reluctant to inquire into the internal affairs and processes of other states, and so a "manifest violation" is required such that it would be "objectively evident to any State dealing with the matter". A strong presumption exists internationally that a head of state has acted within his proper authority. It seems that no treaty has ever actually been invalidated on this provision.[citation needed]
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Consent is also invalid if it is given by a representative who ignored restrictions he is subject to by his sovereign during the negotiations if the other parties to the treaty were notified of those restrictions prior to his signing.[citation needed]
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According to the preamble in The Law of Treaties, treaties are a source of international law. If an act or lack thereof is condemned under international law, the act will not assume international legality even if approved by internal law.[18] This means that in case of a conflict with domestic law, international law will always prevail.[19]
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Articles 46–53 of the Vienna Convention on the Law of Treaties set out the only ways that treaties can be invalidated—considered unenforceable and void under international law. A treaty will be invalidated due to either the circumstances by which a state party joined the treaty or due to the content of the treaty itself. Invalidation is separate from withdrawal, suspension, or termination (addressed above), which all involve an alteration in the consent of the parties of a previously valid treaty rather than the invalidation of that consent in the first place.
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A governmental leader's consent may be invalidated if there was an erroneous understanding of a fact or situation at the time of conclusion, which formed the "essential basis" of the state's consent. Consent will not be invalidated if the misunderstanding was due to the state's own conduct, or if the truth should have been evident.
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Consent will also be invalidated if it was induced by the fraudulent conduct of another party, or by the direct or indirect "corruption" of its representative by another party to the treaty. Coercion of either a representative or the state itself through the threat or use of force, if used to obtain the consent of that state to a treaty, will invalidate that consent.
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A treaty is null and void if it is in violation of a peremptory norm. These norms, unlike other principles of customary law, are recognized as permitting no violations and so cannot be altered through treaty obligations. These are limited to such universally accepted prohibitions as those against the aggressive use of force, genocide and other crimes against humanity, piracy, hostilities directed at civilian population, racial discrimination and apartheid, slavery and torture,[20] meaning that no state can legally assume an obligation to commit or permit such acts.[21]
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The United Nations Charter states that treaties must be registered with the UN to be invoked before it or enforced in its judiciary organ, the International Court of Justice. This was done to prevent the proliferation of secret treaties that occurred in the 19th and 20th centuries. Section 103 of the Charter also states that its members' obligations under it outweigh any competing obligations under other treaties.
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After their adoption, treaties, as well as their amendments, have to follow the official legal procedures of the United Nations, as applied by the Office of Legal Affairs, including signature, ratification and entry into force.
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In function and effectiveness, the UN has been compared to the pre-Constitutional United States Federal government by some,[22] giving a comparison between modern treaty law and the historical Articles of Confederation.
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The constitution of Australia allows the executive government to enter into treaties, but the practice is for treaties to be tabled in both houses of parliament at least 15 days before signing. Treaties are considered a source of Australian law but sometimes require an act of parliament to be passed depending on their nature. Treaties are administered and maintained by the Department of Foreign Affairs and Trade, which advised that the "general position under Australian law is that treaties which Australia has joined, apart from those terminating a state of war, are not directly and automatically incorporated into Australian law. Signature and ratification do not, of themselves, make treaties operate domestically. In the absence of legislation, treaties cannot impose obligations on individuals nor create rights in domestic law. Nevertheless, international law, including treaty law, is a legitimate and important influence on the development of the common law and may be used in the interpretation of statutes."[23] Treaties can be implemented by executive action, and often, existing laws are sufficient to ensure a treaty is honored.
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Australian treaties generally fall under the following categories: extradition, postal agreements and money orders, trade and international conventions.
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The federal constitution of Brazil states that the power to enter into treaties is vested in the president of Brazil and that such treaties must be approved by the Congress of Brazil (Articles 84, Clause VIII, and 49, Clause I). In practice, that has been interpreted as meaning that the executive branch is free to negotiate and sign a treaty but that its ratification by the president requires the prior approval of Congress. Additionally, the Supreme Federal Court has ruled that after ratification and entry into force, a treaty must be incorporated into domestic law by means of a presidential decree published in the federal register for it to be valid in Brazil and applicable by the Brazilian authorities.
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The court has established that treaties are subject to constitutional review and enjoy the same hierarchical position as ordinary legislation (leis ordinárias, or "ordinary laws", in Portuguese). A more recent ruling by the Supreme Court of Brazil in 2008 has altered that somewhat by stating that treaties containing human rights provisions enjoy a status above that of ordinary legislation, subject to only the constitution itself. Additionally, the 45th Amendment to the constitution makes human rights treaties approved by Congress by a special procedure enjoy the same hierarchical position as a constitutional amendment. The hierarchical position of treaties in relation to domestic legislation is of relevance to the discussion on whether and how the latter can abrogate the former and vice versa.
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The constitution does not have a supremacy clause with the same effects as the one in the US constitution, which is of interest to the discussion on the relation between treaties and legislation of the states of Brazil.
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In India, subjects are divided into three lists: union, state and concurrent. In the normal legislation process, the subjects on the union list must be legislated by the Parliament of India. For subjects on the state list, only the respective state legislature can legislate. For subjects on the concurrent list, both governments can make laws. However, to implement international treaties, Parliament can legislate on any subject and even override the general division of subject lists.
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In the United States, the term "treaty" has a different, more restricted legal sense than in international law. US law distinguishes what it calls "treaties" from "executive agreements", which are either "congressional-executive agreements" or "sole executive agreements". The classes are all equally treaties under international law; they are distinct only in internal US law.
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The distinctions are primarily concerning their method of approval. Treaties require advice and consent by two-thirds of the Senators present, but sole executive agreements may be executed by the President acting alone. Some treaties grant the President the authority to fill in the gaps with executive agreements, rather than additional treaties or protocols. Finally, congressional-executive agreements require majority approval by both the House and the Senate before or after the treaty is signed by the President.
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Currently, international agreements are ten times more likely to be executed by executive agreement. Despite the relative ease of executive agreements, the President still often chooses to pursue the formal treaty process over an executive agreement to gain congressional support on matters that require the Congress to pass implementing legislation or appropriate funds as well as for agreements that impose long-term, complex legal obligations on the US. For example, the deal by the United States, Iran, and other countries is not a treaty.
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See the article on the Bricker Amendment for the history of the relationship between treaty powers and Constitutional provisions.
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The US Supreme Court ruled in the Head Money Cases that "treaties" do not have a privileged position over Acts of Congress and can be repealed or modified, for the purposes of US law, by any subsequent Act of Congress, just like any other regular law. The court also ruled in Reid v. Covert that treaty provisions that conflict with the US Constitution are null and void under US law. [24]
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Treaties formed an important part of European colonization and, in many parts of the world, Europeans attempted to legitimize their sovereignty by signing treaties with indigenous peoples. In most cases, these treaties were in extremely disadvantageous terms to the native people, who often did not appreciate the implications of what they were signing.[citation needed]
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In some rare cases, such as with Ethiopia and Qing Dynasty China, the local governments were able to use the treaties to at least mitigate the impact of European colonization. This involved learning the intricacies of European diplomatic customs and then using the treaties to prevent power from overstepping their agreement or by playing different powers against each other.[citation needed]
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In other cases, such as New Zealand with the Māori and Canada with its First Nations people, treaties allowed native peoples to maintain a minimum amount of autonomy. Such treaties between colonizers and indigenous peoples are an important part of political discourse in the late 20th and early 21st century, the treaties being discussed have international standing as has been stated in a treaty study by the UN.[25][26]
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In the case of Indigenous Australians, no treaty was ever entered into with the Indigenous peoples entitling the Europeans to land ownership, mostly adopting the doctrine of terra nullius (with the exception of South Australia). This concept was later overturned by Mabo v Queensland, which established the concept of native title in Australia well after colonization was already a fait accompli.
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On 10 December 2019,[27] the Victorian First Peoples' Assembly met for the first time in the Upper House of the Parliament of Victoria in Melbourne. The main aim of the Assembly is to work out the rules by which individual treaties would be negotiated between the Victorian Government and individual Aboriginal Victorian peoples. It will also establish an independent Treaty Authority, which will oversee the negotiations between the Aboriginal groups and the Victorian Government and ensure fairness.[28]
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Prior to 1871, the government of the United States regularly entered into treaties with Native Americans but the Indian Appropriations Act of March 3, 1871 (ch. 120, 16 Stat. 563) had a rider (25 U.S.C. § 71) attached that effectively ended the President's treaty-making by providing that no Indian nation or tribe shall be acknowledged as an independent nation, tribe, or power with whom the United States may contract by treaty. The federal government continued to provide similar contractual relations with the Indian tribes after 1871 by agreements, statutes, and executive orders.[29]
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The dictionary definition of treaty at Wiktionary
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Works related to Treaties at Wikisource
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A treaty is a formal written agreement entered into by actors in international law, namely sovereign states and international organizations.[1] A treaty may also be known as an international agreement, protocol, covenant, convention, pact, or exchange of letters, among other terms. Regardless of terminology, only instruments that are binding upon the parties are considered treaties subject to international law.[2]
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Treaties can be loosely compared to contracts, in that the parties willingly assume binding obligations among themselves, and any party that breaches its obligations can be held liable under international law.[3][4] Treaties vary significantly in substance and complexity, and may govern a wide variety of matters, such as territorial boundaries, trade and commerce, political alliances, and more.
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International law on treaties have mostly been codified by the Vienna Convention on the Law of Treaties, which sets forth the rules and procedures for creating, enforcing, amending, and interpreting treaties.[5] As one of the earliest manifestations of international relations, treaties are recognized as a primary source of international law.[6]
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A treaty is an official, express written agreement that states use to legally bind themselves.[7] A treaty is an official document that expresses that agreement in words; it is also the objective outcome of a ceremonial occasion which acknowledges the parties and their defined relationships. There is no prerequisite of academic accreditation or cross-professional contextual knowledge required to publish a treaty.
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Since the late 19th century, most treaties have followed a fairly consistent format. A treaty typically begins with a preamble describing the "High Contracting Parties" and their shared objectives in executing the treaty, as well as summarizing any underlying events (such as the aftermath of a war in the case of a peace treaty). Modern preambles are sometimes structured as a single very long sentence formatted into multiple paragraphs for readability, in which each of the paragraphs begins with a gerund (desiring, recognizing, having, etc.).
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The High Contracting Parties; referred to as either the official title of the head of state (but not including the personal name), e.g. His Majesty The King of X or His Excellency The President of Y, or alternatively in the form of " Government of Z"; are enumerated, and along with the full names and titles of their plenipotentiary representatives, and a boilerplate clause about how their representatives have communicated (or exchanged) their full powers (i.e., the official documents appointing them to act on behalf of their respective high contracting party) and found them in good or proper form. However, under the Vienna Convention on the Law of Treaties if the representative is the head of state, head of government or minister of foreign affairs, no special document is needed, as holding such high office is sufficient.
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The end of the preamble and the start of the actual agreement is often signaled by the words "have agreed as follows".
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After the preamble comes numbered articles, which contain the substance of the parties' actual agreement. Each article heading usually encompasses a paragraph. A long treaty may further group articles under chapter headings.
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Modern treaties, regardless of subject matter, usually contain articles governing where the final authentic copies of the treaty will be deposited and how any subsequent disputes as to their interpretation will be peacefully resolved.
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The end of a treaty, the eschatocol (or closing protocol), is often signaled by a clause like "in witness whereof" or "in faith whereof", the parties have affixed their signatures, followed by the words "DONE at", then the site(s) of the treaty's execution and the date(s) of its execution. The date is typically written in its most formal, non-numerical form. For example, the Charter of the United Nations was "DONE at the city of San Francisco the twenty-sixth day of June, one thousand nine hundred and forty-five". If the treaty is executed in multiple copies in different languages, that fact is always noted and is followed by a stipulation that the versions in different languages are equally authentic.
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The signatures of the parties' representatives follow at the very end. When the text of a treaty is later reprinted, such as in a collection of treaties currently in effect, an editor will often append the dates on which the respective parties ratified the treaty and on which it came into effect for each party.
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Bilateral treaties are concluded between two states or entities.[8] It is possible for a bilateral treaty to have more than two parties; for example, each of the bilateral treaties between Switzerland and the European Union (EU) has seventeen parties: The parties are divided into two groups, the Swiss ("on the one part") and the EU and its member states ("on the other part"). The treaty establishes rights and obligations between the Swiss and the EU and the member states severally—it does not establish any rights and obligations amongst the EU and its member states.[citation needed]
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A multilateral treaty is concluded among several countries, establishing rights and obligations between each party and every other party.[8] Multilateral treaties may be regional or may involve states across the world.[9] Treaties of "mutual guarantee" are international compacts, e.g., the Treaty of Locarno which guarantees each signatory against attack from another.[8]
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Reservations are essentially caveats to a state's acceptance of a treaty. Reservations are unilateral statements purporting to exclude or to modify the legal obligation and its effects on the reserving state.[10] These must be included at the time of signing or ratification, i.e. "a party cannot add a reservation after it has already joined a treaty". Article 19 of the Vienna Convention on the law of Treaties in 1969.
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Originally, international law was unaccepting of treaty reservations, rejecting them unless all parties to the treaty accepted the same reservations. However, in the interest of encouraging the largest number of states to join treaties, a more permissive rule regarding reservations has emerged. While some treaties still expressly forbid any reservations, they are now generally permitted to the extent that they are not inconsistent with the goals and purposes of the treaty.
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When a state limits its treaty obligations through reservations, other states party to that treaty have the option to accept those reservations, object to them, or object and oppose them. If the state accepts them (or fails to act at all), both the reserving state and the accepting state are relieved of the reserved legal obligation as concerns their legal obligations to each other (accepting the reservation does not change the accepting state's legal obligations as concerns other parties to the treaty). If the state opposes, the parts of the treaty affected by the reservation drop out completely and no longer create any legal obligations on the reserving and accepting state, again only as concerns each other. Finally, if the state objects and opposes, there are no legal obligations under that treaty between those two state parties whatsoever. The objecting and opposing state essentially refuses to acknowledge the reserving state is a party to the treaty at all.[11]
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There are three ways an existing treaty can be amended. First, a formal amendment requires State parties to the treaty to go through the ratification process all over again. The re-negotiation of treaty provisions can be long and protracted, and often some parties to the original treaty will not become parties to the amended treaty. When determining the legal obligations of states, one party to the original treaty and one party to the amended treaty, the states will only be bound by the terms they both agreed upon. Treaties can also be amended informally by the treaty executive council when the changes are only procedural, technical change in customary international law can also amend a treaty, where state behavior evinces a new interpretation of the legal obligations under the treaty. Minor corrections to a treaty may be adopted by a procès-verbal; but a procès-verbal is generally reserved for changes to rectify obvious errors in the text adopted, i.e. where the text adopted does not correctly reflect the intention of the parties adopting it.
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In international law and international relations, a protocol is generally a treaty or international agreement that supplements a previous treaty or international agreement. A protocol can amend the previous treaty, or add additional provisions. Parties to the earlier agreement are not required to adopt the protocol. Sometimes this is made clearer by calling it an "optional protocol", especially where many parties to the first agreement do not support the protocol.
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Some examples: the United Nations Framework Convention on Climate Change (UNFCCC) established a framework for the development of binding greenhouse gas emission limits, while the Kyoto Protocol contained the specific provisions and regulations later agreed upon.
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Treaties may be seen as 'self-executing', in that merely becoming a party puts the treaty and all of its obligations in action. Other treaties may be non-self-executing and require 'implementing legislation'—a change in the domestic law of a state party that will direct or enable it to fulfill treaty obligations. An example of a treaty requiring such legislation would be one mandating local prosecution by a party for particular crimes.
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The division between the two is often not clear and is often politicized in disagreements within a government over a treaty, since a non-self-executing treaty cannot be acted on without the proper change in domestic law. If a treaty requires implementing legislation, a state may be in default of its obligations by the failure of its legislature to pass the necessary domestic laws.
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The language of treaties, like that of any law or contract, must be interpreted when the wording does not seem clear or it is not immediately apparent how it should be applied in a perhaps unforeseen circumstance. The Vienna Convention states that treaties are to be interpreted "in good faith" according to the "ordinary meaning given to the terms of the treaty in their context and in the light of its object and purpose". International legal experts also often invoke the 'principle of maximum effectiveness,' which interprets treaty language as having the fullest force and effect possible to establish obligations between the parties.
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No one party to a treaty can impose its particular interpretation of the treaty upon the other parties. Consent may be implied, however, if the other parties fail to explicitly disavow that initially unilateral interpretation, particularly if that state has acted upon its view of the treaty without complaint. Consent by all parties to the treaty to a particular interpretation has the legal effect of adding another clause to the treaty – this is commonly called an 'authentic interpretation'.
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International tribunals and arbiters are often called upon to resolve substantial disputes over treaty interpretations. To establish the meaning in context, these judicial bodies may review the preparatory work from the negotiation and drafting of the treaty as well as the final, signed treaty itself.
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One significant part of treaty-making is that signing a treaty implies a recognition that the other side is a sovereign state and that the agreement being considered is enforceable under international law. Hence, nations can be very careful about terming an agreement to be a treaty. For example, within the United States, agreements between states are compacts and agreements between states and the federal government or between agencies of the government are memoranda of understanding.
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Another situation can occur when one party wishes to create an obligation under international law, but the other party does not. This factor has been at work with respect to discussions between North Korea and the United States over security guarantees and nuclear proliferation.
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The definition of the English word 'Treaty' varies depending on the professional context(s).
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Treaties are not necessarily permanently binding upon the signatory parties. As obligations in international law are traditionally viewed as arising only from the consent of states, many treaties expressly allow a state to withdraw as long as it follows certain procedures of notification. For example, the Single Convention on Narcotic Drugs provides that the treaty will terminate if, as a result of denunciations, the number of parties falls below 40. Many treaties expressly forbid withdrawal. Article 56 of the Vienna Convention on the Law of Treaties provides that where a treaty is silent over whether or not it can be denounced there is a rebuttable presumption that it cannot be unilaterally denounced unless:
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The possibility of withdrawal depends on the terms of the treaty and its travaux preparatory. It has, for example, been held that it is not possible to withdraw from the International Covenant on Civil and Political Rights. When North Korea declared its intention to do this the Secretary-General of the United Nations, acting as registrar, said that original signatories of the ICCPR had not overlooked the possibility of explicitly providing for withdrawal, but rather had deliberately intended not to provide for it. Consequently, withdrawal was not possible.[12]
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In practice, because of sovereignty, any state can purport to withdraw from any treaty at any time, and cease to abide by its terms. The question of whether this is lawful can be regarded as the success or failure to anticipate community acquiescence or enforcement, that is, how other states will react; for instance, another state might impose sanctions or go to war over a treaty violation.
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If a state party's withdrawal is successful, its obligations under that treaty are considered terminated, and withdrawal by one party from a bilateral treaty terminates the treaty. When a state withdraws from a multilateral treaty, that treaty will still otherwise remain in force among the other parties, unless, it otherwise should or could be interpreted as agreed upon between the remaining states parties to the treaty.[citation needed]
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If a party has materially violated or breached its treaty obligations, the other parties may invoke this breach as grounds for temporarily suspending their obligations to that party under the treaty. A material breach may also be invoked as grounds for permanently terminating the treaty itself.[13]
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A treaty breach does not automatically suspend or terminate treaty relations, however. It depends on how the other parties regard the breach and how they resolve to respond to it. Sometimes treaties will provide for the seriousness of a breach to be determined by a tribunal or other independent arbiter.[14] An advantage of such an arbiter is that it prevents a party from prematurely and perhaps wrongfully suspending or terminating its own obligations due to another's an alleged material breach.
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Treaties sometimes include provisions for self-termination, meaning that the treaty is automatically terminated if certain defined conditions are met. Some treaties are intended by the parties to be only temporarily binding and are set to expire on a given date. Other treaties may self-terminate if the treaty is meant to exist only under certain conditions.[15]
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A party may claim that a treaty should be terminated, even absent an express provision, if there has been a fundamental change in circumstances. Such a change is sufficient if unforeseen, if it undermined the “essential basis” of consent by a party if it radically transforms the extent of obligations between the parties, and if the obligations are still to be performed. A party cannot base this claim on change brought about by its own breach of the treaty. This claim also cannot be used to invalidate treaties that established or redrew political boundaries.[15]
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There are several reasons an otherwise valid and agreed upon treaty may be rejected as a binding international agreement, most of which involve problems created at the formation of the treaty.[citation needed] For example, the serial Japan-Korea treaties of 1905, 1907 and 1910 were protested;[16] and they were confirmed as "already null and void" in the 1965 Treaty on Basic Relations between Japan and the Republic of Korea.[17]
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A party's consent to a treaty is invalid if it had been given by an agent or body without power to do so under that state's domestic laws. States are reluctant to inquire into the internal affairs and processes of other states, and so a "manifest violation" is required such that it would be "objectively evident to any State dealing with the matter". A strong presumption exists internationally that a head of state has acted within his proper authority. It seems that no treaty has ever actually been invalidated on this provision.[citation needed]
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Consent is also invalid if it is given by a representative who ignored restrictions he is subject to by his sovereign during the negotiations if the other parties to the treaty were notified of those restrictions prior to his signing.[citation needed]
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According to the preamble in The Law of Treaties, treaties are a source of international law. If an act or lack thereof is condemned under international law, the act will not assume international legality even if approved by internal law.[18] This means that in case of a conflict with domestic law, international law will always prevail.[19]
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Articles 46–53 of the Vienna Convention on the Law of Treaties set out the only ways that treaties can be invalidated—considered unenforceable and void under international law. A treaty will be invalidated due to either the circumstances by which a state party joined the treaty or due to the content of the treaty itself. Invalidation is separate from withdrawal, suspension, or termination (addressed above), which all involve an alteration in the consent of the parties of a previously valid treaty rather than the invalidation of that consent in the first place.
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A governmental leader's consent may be invalidated if there was an erroneous understanding of a fact or situation at the time of conclusion, which formed the "essential basis" of the state's consent. Consent will not be invalidated if the misunderstanding was due to the state's own conduct, or if the truth should have been evident.
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Consent will also be invalidated if it was induced by the fraudulent conduct of another party, or by the direct or indirect "corruption" of its representative by another party to the treaty. Coercion of either a representative or the state itself through the threat or use of force, if used to obtain the consent of that state to a treaty, will invalidate that consent.
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A treaty is null and void if it is in violation of a peremptory norm. These norms, unlike other principles of customary law, are recognized as permitting no violations and so cannot be altered through treaty obligations. These are limited to such universally accepted prohibitions as those against the aggressive use of force, genocide and other crimes against humanity, piracy, hostilities directed at civilian population, racial discrimination and apartheid, slavery and torture,[20] meaning that no state can legally assume an obligation to commit or permit such acts.[21]
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The United Nations Charter states that treaties must be registered with the UN to be invoked before it or enforced in its judiciary organ, the International Court of Justice. This was done to prevent the proliferation of secret treaties that occurred in the 19th and 20th centuries. Section 103 of the Charter also states that its members' obligations under it outweigh any competing obligations under other treaties.
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After their adoption, treaties, as well as their amendments, have to follow the official legal procedures of the United Nations, as applied by the Office of Legal Affairs, including signature, ratification and entry into force.
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In function and effectiveness, the UN has been compared to the pre-Constitutional United States Federal government by some,[22] giving a comparison between modern treaty law and the historical Articles of Confederation.
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The constitution of Australia allows the executive government to enter into treaties, but the practice is for treaties to be tabled in both houses of parliament at least 15 days before signing. Treaties are considered a source of Australian law but sometimes require an act of parliament to be passed depending on their nature. Treaties are administered and maintained by the Department of Foreign Affairs and Trade, which advised that the "general position under Australian law is that treaties which Australia has joined, apart from those terminating a state of war, are not directly and automatically incorporated into Australian law. Signature and ratification do not, of themselves, make treaties operate domestically. In the absence of legislation, treaties cannot impose obligations on individuals nor create rights in domestic law. Nevertheless, international law, including treaty law, is a legitimate and important influence on the development of the common law and may be used in the interpretation of statutes."[23] Treaties can be implemented by executive action, and often, existing laws are sufficient to ensure a treaty is honored.
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Australian treaties generally fall under the following categories: extradition, postal agreements and money orders, trade and international conventions.
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The federal constitution of Brazil states that the power to enter into treaties is vested in the president of Brazil and that such treaties must be approved by the Congress of Brazil (Articles 84, Clause VIII, and 49, Clause I). In practice, that has been interpreted as meaning that the executive branch is free to negotiate and sign a treaty but that its ratification by the president requires the prior approval of Congress. Additionally, the Supreme Federal Court has ruled that after ratification and entry into force, a treaty must be incorporated into domestic law by means of a presidential decree published in the federal register for it to be valid in Brazil and applicable by the Brazilian authorities.
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The court has established that treaties are subject to constitutional review and enjoy the same hierarchical position as ordinary legislation (leis ordinárias, or "ordinary laws", in Portuguese). A more recent ruling by the Supreme Court of Brazil in 2008 has altered that somewhat by stating that treaties containing human rights provisions enjoy a status above that of ordinary legislation, subject to only the constitution itself. Additionally, the 45th Amendment to the constitution makes human rights treaties approved by Congress by a special procedure enjoy the same hierarchical position as a constitutional amendment. The hierarchical position of treaties in relation to domestic legislation is of relevance to the discussion on whether and how the latter can abrogate the former and vice versa.
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The constitution does not have a supremacy clause with the same effects as the one in the US constitution, which is of interest to the discussion on the relation between treaties and legislation of the states of Brazil.
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In India, subjects are divided into three lists: union, state and concurrent. In the normal legislation process, the subjects on the union list must be legislated by the Parliament of India. For subjects on the state list, only the respective state legislature can legislate. For subjects on the concurrent list, both governments can make laws. However, to implement international treaties, Parliament can legislate on any subject and even override the general division of subject lists.
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In the United States, the term "treaty" has a different, more restricted legal sense than in international law. US law distinguishes what it calls "treaties" from "executive agreements", which are either "congressional-executive agreements" or "sole executive agreements". The classes are all equally treaties under international law; they are distinct only in internal US law.
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The distinctions are primarily concerning their method of approval. Treaties require advice and consent by two-thirds of the Senators present, but sole executive agreements may be executed by the President acting alone. Some treaties grant the President the authority to fill in the gaps with executive agreements, rather than additional treaties or protocols. Finally, congressional-executive agreements require majority approval by both the House and the Senate before or after the treaty is signed by the President.
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Currently, international agreements are ten times more likely to be executed by executive agreement. Despite the relative ease of executive agreements, the President still often chooses to pursue the formal treaty process over an executive agreement to gain congressional support on matters that require the Congress to pass implementing legislation or appropriate funds as well as for agreements that impose long-term, complex legal obligations on the US. For example, the deal by the United States, Iran, and other countries is not a treaty.
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See the article on the Bricker Amendment for the history of the relationship between treaty powers and Constitutional provisions.
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The US Supreme Court ruled in the Head Money Cases that "treaties" do not have a privileged position over Acts of Congress and can be repealed or modified, for the purposes of US law, by any subsequent Act of Congress, just like any other regular law. The court also ruled in Reid v. Covert that treaty provisions that conflict with the US Constitution are null and void under US law. [24]
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Treaties formed an important part of European colonization and, in many parts of the world, Europeans attempted to legitimize their sovereignty by signing treaties with indigenous peoples. In most cases, these treaties were in extremely disadvantageous terms to the native people, who often did not appreciate the implications of what they were signing.[citation needed]
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In some rare cases, such as with Ethiopia and Qing Dynasty China, the local governments were able to use the treaties to at least mitigate the impact of European colonization. This involved learning the intricacies of European diplomatic customs and then using the treaties to prevent power from overstepping their agreement or by playing different powers against each other.[citation needed]
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In other cases, such as New Zealand with the Māori and Canada with its First Nations people, treaties allowed native peoples to maintain a minimum amount of autonomy. Such treaties between colonizers and indigenous peoples are an important part of political discourse in the late 20th and early 21st century, the treaties being discussed have international standing as has been stated in a treaty study by the UN.[25][26]
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In the case of Indigenous Australians, no treaty was ever entered into with the Indigenous peoples entitling the Europeans to land ownership, mostly adopting the doctrine of terra nullius (with the exception of South Australia). This concept was later overturned by Mabo v Queensland, which established the concept of native title in Australia well after colonization was already a fait accompli.
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On 10 December 2019,[27] the Victorian First Peoples' Assembly met for the first time in the Upper House of the Parliament of Victoria in Melbourne. The main aim of the Assembly is to work out the rules by which individual treaties would be negotiated between the Victorian Government and individual Aboriginal Victorian peoples. It will also establish an independent Treaty Authority, which will oversee the negotiations between the Aboriginal groups and the Victorian Government and ensure fairness.[28]
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Prior to 1871, the government of the United States regularly entered into treaties with Native Americans but the Indian Appropriations Act of March 3, 1871 (ch. 120, 16 Stat. 563) had a rider (25 U.S.C. § 71) attached that effectively ended the President's treaty-making by providing that no Indian nation or tribe shall be acknowledged as an independent nation, tribe, or power with whom the United States may contract by treaty. The federal government continued to provide similar contractual relations with the Indian tribes after 1871 by agreements, statutes, and executive orders.[29]
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The dictionary definition of treaty at Wiktionary
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Works related to Treaties at Wikisource
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A treaty is a formal written agreement entered into by actors in international law, namely sovereign states and international organizations.[1] A treaty may also be known as an international agreement, protocol, covenant, convention, pact, or exchange of letters, among other terms. Regardless of terminology, only instruments that are binding upon the parties are considered treaties subject to international law.[2]
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Treaties can be loosely compared to contracts, in that the parties willingly assume binding obligations among themselves, and any party that breaches its obligations can be held liable under international law.[3][4] Treaties vary significantly in substance and complexity, and may govern a wide variety of matters, such as territorial boundaries, trade and commerce, political alliances, and more.
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International law on treaties have mostly been codified by the Vienna Convention on the Law of Treaties, which sets forth the rules and procedures for creating, enforcing, amending, and interpreting treaties.[5] As one of the earliest manifestations of international relations, treaties are recognized as a primary source of international law.[6]
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A treaty is an official, express written agreement that states use to legally bind themselves.[7] A treaty is an official document that expresses that agreement in words; it is also the objective outcome of a ceremonial occasion which acknowledges the parties and their defined relationships. There is no prerequisite of academic accreditation or cross-professional contextual knowledge required to publish a treaty.
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Since the late 19th century, most treaties have followed a fairly consistent format. A treaty typically begins with a preamble describing the "High Contracting Parties" and their shared objectives in executing the treaty, as well as summarizing any underlying events (such as the aftermath of a war in the case of a peace treaty). Modern preambles are sometimes structured as a single very long sentence formatted into multiple paragraphs for readability, in which each of the paragraphs begins with a gerund (desiring, recognizing, having, etc.).
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The High Contracting Parties; referred to as either the official title of the head of state (but not including the personal name), e.g. His Majesty The King of X or His Excellency The President of Y, or alternatively in the form of " Government of Z"; are enumerated, and along with the full names and titles of their plenipotentiary representatives, and a boilerplate clause about how their representatives have communicated (or exchanged) their full powers (i.e., the official documents appointing them to act on behalf of their respective high contracting party) and found them in good or proper form. However, under the Vienna Convention on the Law of Treaties if the representative is the head of state, head of government or minister of foreign affairs, no special document is needed, as holding such high office is sufficient.
|
12 |
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|
13 |
+
The end of the preamble and the start of the actual agreement is often signaled by the words "have agreed as follows".
|
14 |
+
|
15 |
+
After the preamble comes numbered articles, which contain the substance of the parties' actual agreement. Each article heading usually encompasses a paragraph. A long treaty may further group articles under chapter headings.
|
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+
Modern treaties, regardless of subject matter, usually contain articles governing where the final authentic copies of the treaty will be deposited and how any subsequent disputes as to their interpretation will be peacefully resolved.
|
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+
|
19 |
+
The end of a treaty, the eschatocol (or closing protocol), is often signaled by a clause like "in witness whereof" or "in faith whereof", the parties have affixed their signatures, followed by the words "DONE at", then the site(s) of the treaty's execution and the date(s) of its execution. The date is typically written in its most formal, non-numerical form. For example, the Charter of the United Nations was "DONE at the city of San Francisco the twenty-sixth day of June, one thousand nine hundred and forty-five". If the treaty is executed in multiple copies in different languages, that fact is always noted and is followed by a stipulation that the versions in different languages are equally authentic.
|
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+
The signatures of the parties' representatives follow at the very end. When the text of a treaty is later reprinted, such as in a collection of treaties currently in effect, an editor will often append the dates on which the respective parties ratified the treaty and on which it came into effect for each party.
|
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+
Bilateral treaties are concluded between two states or entities.[8] It is possible for a bilateral treaty to have more than two parties; for example, each of the bilateral treaties between Switzerland and the European Union (EU) has seventeen parties: The parties are divided into two groups, the Swiss ("on the one part") and the EU and its member states ("on the other part"). The treaty establishes rights and obligations between the Swiss and the EU and the member states severally—it does not establish any rights and obligations amongst the EU and its member states.[citation needed]
|
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+
A multilateral treaty is concluded among several countries, establishing rights and obligations between each party and every other party.[8] Multilateral treaties may be regional or may involve states across the world.[9] Treaties of "mutual guarantee" are international compacts, e.g., the Treaty of Locarno which guarantees each signatory against attack from another.[8]
|
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+
Reservations are essentially caveats to a state's acceptance of a treaty. Reservations are unilateral statements purporting to exclude or to modify the legal obligation and its effects on the reserving state.[10] These must be included at the time of signing or ratification, i.e. "a party cannot add a reservation after it has already joined a treaty". Article 19 of the Vienna Convention on the law of Treaties in 1969.
|
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+
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+
Originally, international law was unaccepting of treaty reservations, rejecting them unless all parties to the treaty accepted the same reservations. However, in the interest of encouraging the largest number of states to join treaties, a more permissive rule regarding reservations has emerged. While some treaties still expressly forbid any reservations, they are now generally permitted to the extent that they are not inconsistent with the goals and purposes of the treaty.
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+
When a state limits its treaty obligations through reservations, other states party to that treaty have the option to accept those reservations, object to them, or object and oppose them. If the state accepts them (or fails to act at all), both the reserving state and the accepting state are relieved of the reserved legal obligation as concerns their legal obligations to each other (accepting the reservation does not change the accepting state's legal obligations as concerns other parties to the treaty). If the state opposes, the parts of the treaty affected by the reservation drop out completely and no longer create any legal obligations on the reserving and accepting state, again only as concerns each other. Finally, if the state objects and opposes, there are no legal obligations under that treaty between those two state parties whatsoever. The objecting and opposing state essentially refuses to acknowledge the reserving state is a party to the treaty at all.[11]
|
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+
There are three ways an existing treaty can be amended. First, a formal amendment requires State parties to the treaty to go through the ratification process all over again. The re-negotiation of treaty provisions can be long and protracted, and often some parties to the original treaty will not become parties to the amended treaty. When determining the legal obligations of states, one party to the original treaty and one party to the amended treaty, the states will only be bound by the terms they both agreed upon. Treaties can also be amended informally by the treaty executive council when the changes are only procedural, technical change in customary international law can also amend a treaty, where state behavior evinces a new interpretation of the legal obligations under the treaty. Minor corrections to a treaty may be adopted by a procès-verbal; but a procès-verbal is generally reserved for changes to rectify obvious errors in the text adopted, i.e. where the text adopted does not correctly reflect the intention of the parties adopting it.
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+
In international law and international relations, a protocol is generally a treaty or international agreement that supplements a previous treaty or international agreement. A protocol can amend the previous treaty, or add additional provisions. Parties to the earlier agreement are not required to adopt the protocol. Sometimes this is made clearer by calling it an "optional protocol", especially where many parties to the first agreement do not support the protocol.
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Some examples: the United Nations Framework Convention on Climate Change (UNFCCC) established a framework for the development of binding greenhouse gas emission limits, while the Kyoto Protocol contained the specific provisions and regulations later agreed upon.
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|
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+
Treaties may be seen as 'self-executing', in that merely becoming a party puts the treaty and all of its obligations in action. Other treaties may be non-self-executing and require 'implementing legislation'—a change in the domestic law of a state party that will direct or enable it to fulfill treaty obligations. An example of a treaty requiring such legislation would be one mandating local prosecution by a party for particular crimes.
|
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|
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+
The division between the two is often not clear and is often politicized in disagreements within a government over a treaty, since a non-self-executing treaty cannot be acted on without the proper change in domestic law. If a treaty requires implementing legislation, a state may be in default of its obligations by the failure of its legislature to pass the necessary domestic laws.
|
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+
|
43 |
+
The language of treaties, like that of any law or contract, must be interpreted when the wording does not seem clear or it is not immediately apparent how it should be applied in a perhaps unforeseen circumstance. The Vienna Convention states that treaties are to be interpreted "in good faith" according to the "ordinary meaning given to the terms of the treaty in their context and in the light of its object and purpose". International legal experts also often invoke the 'principle of maximum effectiveness,' which interprets treaty language as having the fullest force and effect possible to establish obligations between the parties.
|
44 |
+
|
45 |
+
No one party to a treaty can impose its particular interpretation of the treaty upon the other parties. Consent may be implied, however, if the other parties fail to explicitly disavow that initially unilateral interpretation, particularly if that state has acted upon its view of the treaty without complaint. Consent by all parties to the treaty to a particular interpretation has the legal effect of adding another clause to the treaty – this is commonly called an 'authentic interpretation'.
|
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+
|
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+
International tribunals and arbiters are often called upon to resolve substantial disputes over treaty interpretations. To establish the meaning in context, these judicial bodies may review the preparatory work from the negotiation and drafting of the treaty as well as the final, signed treaty itself.
|
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|
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+
One significant part of treaty-making is that signing a treaty implies a recognition that the other side is a sovereign state and that the agreement being considered is enforceable under international law. Hence, nations can be very careful about terming an agreement to be a treaty. For example, within the United States, agreements between states are compacts and agreements between states and the federal government or between agencies of the government are memoranda of understanding.
|
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|
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+
Another situation can occur when one party wishes to create an obligation under international law, but the other party does not. This factor has been at work with respect to discussions between North Korea and the United States over security guarantees and nuclear proliferation.
|
52 |
+
|
53 |
+
The definition of the English word 'Treaty' varies depending on the professional context(s).
|
54 |
+
|
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+
Treaties are not necessarily permanently binding upon the signatory parties. As obligations in international law are traditionally viewed as arising only from the consent of states, many treaties expressly allow a state to withdraw as long as it follows certain procedures of notification. For example, the Single Convention on Narcotic Drugs provides that the treaty will terminate if, as a result of denunciations, the number of parties falls below 40. Many treaties expressly forbid withdrawal. Article 56 of the Vienna Convention on the Law of Treaties provides that where a treaty is silent over whether or not it can be denounced there is a rebuttable presumption that it cannot be unilaterally denounced unless:
|
56 |
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|
57 |
+
The possibility of withdrawal depends on the terms of the treaty and its travaux preparatory. It has, for example, been held that it is not possible to withdraw from the International Covenant on Civil and Political Rights. When North Korea declared its intention to do this the Secretary-General of the United Nations, acting as registrar, said that original signatories of the ICCPR had not overlooked the possibility of explicitly providing for withdrawal, but rather had deliberately intended not to provide for it. Consequently, withdrawal was not possible.[12]
|
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|
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In practice, because of sovereignty, any state can purport to withdraw from any treaty at any time, and cease to abide by its terms. The question of whether this is lawful can be regarded as the success or failure to anticipate community acquiescence or enforcement, that is, how other states will react; for instance, another state might impose sanctions or go to war over a treaty violation.
|
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|
61 |
+
If a state party's withdrawal is successful, its obligations under that treaty are considered terminated, and withdrawal by one party from a bilateral treaty terminates the treaty. When a state withdraws from a multilateral treaty, that treaty will still otherwise remain in force among the other parties, unless, it otherwise should or could be interpreted as agreed upon between the remaining states parties to the treaty.[citation needed]
|
62 |
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|
63 |
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If a party has materially violated or breached its treaty obligations, the other parties may invoke this breach as grounds for temporarily suspending their obligations to that party under the treaty. A material breach may also be invoked as grounds for permanently terminating the treaty itself.[13]
|
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|
65 |
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A treaty breach does not automatically suspend or terminate treaty relations, however. It depends on how the other parties regard the breach and how they resolve to respond to it. Sometimes treaties will provide for the seriousness of a breach to be determined by a tribunal or other independent arbiter.[14] An advantage of such an arbiter is that it prevents a party from prematurely and perhaps wrongfully suspending or terminating its own obligations due to another's an alleged material breach.
|
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|
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Treaties sometimes include provisions for self-termination, meaning that the treaty is automatically terminated if certain defined conditions are met. Some treaties are intended by the parties to be only temporarily binding and are set to expire on a given date. Other treaties may self-terminate if the treaty is meant to exist only under certain conditions.[15]
|
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|
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A party may claim that a treaty should be terminated, even absent an express provision, if there has been a fundamental change in circumstances. Such a change is sufficient if unforeseen, if it undermined the “essential basis” of consent by a party if it radically transforms the extent of obligations between the parties, and if the obligations are still to be performed. A party cannot base this claim on change brought about by its own breach of the treaty. This claim also cannot be used to invalidate treaties that established or redrew political boundaries.[15]
|
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|
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There are several reasons an otherwise valid and agreed upon treaty may be rejected as a binding international agreement, most of which involve problems created at the formation of the treaty.[citation needed] For example, the serial Japan-Korea treaties of 1905, 1907 and 1910 were protested;[16] and they were confirmed as "already null and void" in the 1965 Treaty on Basic Relations between Japan and the Republic of Korea.[17]
|
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|
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A party's consent to a treaty is invalid if it had been given by an agent or body without power to do so under that state's domestic laws. States are reluctant to inquire into the internal affairs and processes of other states, and so a "manifest violation" is required such that it would be "objectively evident to any State dealing with the matter". A strong presumption exists internationally that a head of state has acted within his proper authority. It seems that no treaty has ever actually been invalidated on this provision.[citation needed]
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Consent is also invalid if it is given by a representative who ignored restrictions he is subject to by his sovereign during the negotiations if the other parties to the treaty were notified of those restrictions prior to his signing.[citation needed]
|
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According to the preamble in The Law of Treaties, treaties are a source of international law. If an act or lack thereof is condemned under international law, the act will not assume international legality even if approved by internal law.[18] This means that in case of a conflict with domestic law, international law will always prevail.[19]
|
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|
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Articles 46–53 of the Vienna Convention on the Law of Treaties set out the only ways that treaties can be invalidated—considered unenforceable and void under international law. A treaty will be invalidated due to either the circumstances by which a state party joined the treaty or due to the content of the treaty itself. Invalidation is separate from withdrawal, suspension, or termination (addressed above), which all involve an alteration in the consent of the parties of a previously valid treaty rather than the invalidation of that consent in the first place.
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A governmental leader's consent may be invalidated if there was an erroneous understanding of a fact or situation at the time of conclusion, which formed the "essential basis" of the state's consent. Consent will not be invalidated if the misunderstanding was due to the state's own conduct, or if the truth should have been evident.
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Consent will also be invalidated if it was induced by the fraudulent conduct of another party, or by the direct or indirect "corruption" of its representative by another party to the treaty. Coercion of either a representative or the state itself through the threat or use of force, if used to obtain the consent of that state to a treaty, will invalidate that consent.
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A treaty is null and void if it is in violation of a peremptory norm. These norms, unlike other principles of customary law, are recognized as permitting no violations and so cannot be altered through treaty obligations. These are limited to such universally accepted prohibitions as those against the aggressive use of force, genocide and other crimes against humanity, piracy, hostilities directed at civilian population, racial discrimination and apartheid, slavery and torture,[20] meaning that no state can legally assume an obligation to commit or permit such acts.[21]
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The United Nations Charter states that treaties must be registered with the UN to be invoked before it or enforced in its judiciary organ, the International Court of Justice. This was done to prevent the proliferation of secret treaties that occurred in the 19th and 20th centuries. Section 103 of the Charter also states that its members' obligations under it outweigh any competing obligations under other treaties.
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After their adoption, treaties, as well as their amendments, have to follow the official legal procedures of the United Nations, as applied by the Office of Legal Affairs, including signature, ratification and entry into force.
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+
In function and effectiveness, the UN has been compared to the pre-Constitutional United States Federal government by some,[22] giving a comparison between modern treaty law and the historical Articles of Confederation.
|
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|
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The constitution of Australia allows the executive government to enter into treaties, but the practice is for treaties to be tabled in both houses of parliament at least 15 days before signing. Treaties are considered a source of Australian law but sometimes require an act of parliament to be passed depending on their nature. Treaties are administered and maintained by the Department of Foreign Affairs and Trade, which advised that the "general position under Australian law is that treaties which Australia has joined, apart from those terminating a state of war, are not directly and automatically incorporated into Australian law. Signature and ratification do not, of themselves, make treaties operate domestically. In the absence of legislation, treaties cannot impose obligations on individuals nor create rights in domestic law. Nevertheless, international law, including treaty law, is a legitimate and important influence on the development of the common law and may be used in the interpretation of statutes."[23] Treaties can be implemented by executive action, and often, existing laws are sufficient to ensure a treaty is honored.
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Australian treaties generally fall under the following categories: extradition, postal agreements and money orders, trade and international conventions.
|
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The federal constitution of Brazil states that the power to enter into treaties is vested in the president of Brazil and that such treaties must be approved by the Congress of Brazil (Articles 84, Clause VIII, and 49, Clause I). In practice, that has been interpreted as meaning that the executive branch is free to negotiate and sign a treaty but that its ratification by the president requires the prior approval of Congress. Additionally, the Supreme Federal Court has ruled that after ratification and entry into force, a treaty must be incorporated into domestic law by means of a presidential decree published in the federal register for it to be valid in Brazil and applicable by the Brazilian authorities.
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The court has established that treaties are subject to constitutional review and enjoy the same hierarchical position as ordinary legislation (leis ordinárias, or "ordinary laws", in Portuguese). A more recent ruling by the Supreme Court of Brazil in 2008 has altered that somewhat by stating that treaties containing human rights provisions enjoy a status above that of ordinary legislation, subject to only the constitution itself. Additionally, the 45th Amendment to the constitution makes human rights treaties approved by Congress by a special procedure enjoy the same hierarchical position as a constitutional amendment. The hierarchical position of treaties in relation to domestic legislation is of relevance to the discussion on whether and how the latter can abrogate the former and vice versa.
|
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The constitution does not have a supremacy clause with the same effects as the one in the US constitution, which is of interest to the discussion on the relation between treaties and legislation of the states of Brazil.
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In India, subjects are divided into three lists: union, state and concurrent. In the normal legislation process, the subjects on the union list must be legislated by the Parliament of India. For subjects on the state list, only the respective state legislature can legislate. For subjects on the concurrent list, both governments can make laws. However, to implement international treaties, Parliament can legislate on any subject and even override the general division of subject lists.
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In the United States, the term "treaty" has a different, more restricted legal sense than in international law. US law distinguishes what it calls "treaties" from "executive agreements", which are either "congressional-executive agreements" or "sole executive agreements". The classes are all equally treaties under international law; they are distinct only in internal US law.
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The distinctions are primarily concerning their method of approval. Treaties require advice and consent by two-thirds of the Senators present, but sole executive agreements may be executed by the President acting alone. Some treaties grant the President the authority to fill in the gaps with executive agreements, rather than additional treaties or protocols. Finally, congressional-executive agreements require majority approval by both the House and the Senate before or after the treaty is signed by the President.
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Currently, international agreements are ten times more likely to be executed by executive agreement. Despite the relative ease of executive agreements, the President still often chooses to pursue the formal treaty process over an executive agreement to gain congressional support on matters that require the Congress to pass implementing legislation or appropriate funds as well as for agreements that impose long-term, complex legal obligations on the US. For example, the deal by the United States, Iran, and other countries is not a treaty.
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See the article on the Bricker Amendment for the history of the relationship between treaty powers and Constitutional provisions.
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The US Supreme Court ruled in the Head Money Cases that "treaties" do not have a privileged position over Acts of Congress and can be repealed or modified, for the purposes of US law, by any subsequent Act of Congress, just like any other regular law. The court also ruled in Reid v. Covert that treaty provisions that conflict with the US Constitution are null and void under US law. [24]
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Treaties formed an important part of European colonization and, in many parts of the world, Europeans attempted to legitimize their sovereignty by signing treaties with indigenous peoples. In most cases, these treaties were in extremely disadvantageous terms to the native people, who often did not appreciate the implications of what they were signing.[citation needed]
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In some rare cases, such as with Ethiopia and Qing Dynasty China, the local governments were able to use the treaties to at least mitigate the impact of European colonization. This involved learning the intricacies of European diplomatic customs and then using the treaties to prevent power from overstepping their agreement or by playing different powers against each other.[citation needed]
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In other cases, such as New Zealand with the Māori and Canada with its First Nations people, treaties allowed native peoples to maintain a minimum amount of autonomy. Such treaties between colonizers and indigenous peoples are an important part of political discourse in the late 20th and early 21st century, the treaties being discussed have international standing as has been stated in a treaty study by the UN.[25][26]
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In the case of Indigenous Australians, no treaty was ever entered into with the Indigenous peoples entitling the Europeans to land ownership, mostly adopting the doctrine of terra nullius (with the exception of South Australia). This concept was later overturned by Mabo v Queensland, which established the concept of native title in Australia well after colonization was already a fait accompli.
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On 10 December 2019,[27] the Victorian First Peoples' Assembly met for the first time in the Upper House of the Parliament of Victoria in Melbourne. The main aim of the Assembly is to work out the rules by which individual treaties would be negotiated between the Victorian Government and individual Aboriginal Victorian peoples. It will also establish an independent Treaty Authority, which will oversee the negotiations between the Aboriginal groups and the Victorian Government and ensure fairness.[28]
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Prior to 1871, the government of the United States regularly entered into treaties with Native Americans but the Indian Appropriations Act of March 3, 1871 (ch. 120, 16 Stat. 563) had a rider (25 U.S.C. § 71) attached that effectively ended the President's treaty-making by providing that no Indian nation or tribe shall be acknowledged as an independent nation, tribe, or power with whom the United States may contract by treaty. The federal government continued to provide similar contractual relations with the Indian tribes after 1871 by agreements, statutes, and executive orders.[29]
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The dictionary definition of treaty at Wiktionary
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Works related to Treaties at Wikisource
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A treaty is a formal written agreement entered into by actors in international law, namely sovereign states and international organizations.[1] A treaty may also be known as an international agreement, protocol, covenant, convention, pact, or exchange of letters, among other terms. Regardless of terminology, only instruments that are binding upon the parties are considered treaties subject to international law.[2]
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Treaties can be loosely compared to contracts, in that the parties willingly assume binding obligations among themselves, and any party that breaches its obligations can be held liable under international law.[3][4] Treaties vary significantly in substance and complexity, and may govern a wide variety of matters, such as territorial boundaries, trade and commerce, political alliances, and more.
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International law on treaties have mostly been codified by the Vienna Convention on the Law of Treaties, which sets forth the rules and procedures for creating, enforcing, amending, and interpreting treaties.[5] As one of the earliest manifestations of international relations, treaties are recognized as a primary source of international law.[6]
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A treaty is an official, express written agreement that states use to legally bind themselves.[7] A treaty is an official document that expresses that agreement in words; it is also the objective outcome of a ceremonial occasion which acknowledges the parties and their defined relationships. There is no prerequisite of academic accreditation or cross-professional contextual knowledge required to publish a treaty.
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Since the late 19th century, most treaties have followed a fairly consistent format. A treaty typically begins with a preamble describing the "High Contracting Parties" and their shared objectives in executing the treaty, as well as summarizing any underlying events (such as the aftermath of a war in the case of a peace treaty). Modern preambles are sometimes structured as a single very long sentence formatted into multiple paragraphs for readability, in which each of the paragraphs begins with a gerund (desiring, recognizing, having, etc.).
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The High Contracting Parties; referred to as either the official title of the head of state (but not including the personal name), e.g. His Majesty The King of X or His Excellency The President of Y, or alternatively in the form of " Government of Z"; are enumerated, and along with the full names and titles of their plenipotentiary representatives, and a boilerplate clause about how their representatives have communicated (or exchanged) their full powers (i.e., the official documents appointing them to act on behalf of their respective high contracting party) and found them in good or proper form. However, under the Vienna Convention on the Law of Treaties if the representative is the head of state, head of government or minister of foreign affairs, no special document is needed, as holding such high office is sufficient.
|
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The end of the preamble and the start of the actual agreement is often signaled by the words "have agreed as follows".
|
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|
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+
After the preamble comes numbered articles, which contain the substance of the parties' actual agreement. Each article heading usually encompasses a paragraph. A long treaty may further group articles under chapter headings.
|
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|
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+
Modern treaties, regardless of subject matter, usually contain articles governing where the final authentic copies of the treaty will be deposited and how any subsequent disputes as to their interpretation will be peacefully resolved.
|
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|
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The end of a treaty, the eschatocol (or closing protocol), is often signaled by a clause like "in witness whereof" or "in faith whereof", the parties have affixed their signatures, followed by the words "DONE at", then the site(s) of the treaty's execution and the date(s) of its execution. The date is typically written in its most formal, non-numerical form. For example, the Charter of the United Nations was "DONE at the city of San Francisco the twenty-sixth day of June, one thousand nine hundred and forty-five". If the treaty is executed in multiple copies in different languages, that fact is always noted and is followed by a stipulation that the versions in different languages are equally authentic.
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The signatures of the parties' representatives follow at the very end. When the text of a treaty is later reprinted, such as in a collection of treaties currently in effect, an editor will often append the dates on which the respective parties ratified the treaty and on which it came into effect for each party.
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Bilateral treaties are concluded between two states or entities.[8] It is possible for a bilateral treaty to have more than two parties; for example, each of the bilateral treaties between Switzerland and the European Union (EU) has seventeen parties: The parties are divided into two groups, the Swiss ("on the one part") and the EU and its member states ("on the other part"). The treaty establishes rights and obligations between the Swiss and the EU and the member states severally—it does not establish any rights and obligations amongst the EU and its member states.[citation needed]
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A multilateral treaty is concluded among several countries, establishing rights and obligations between each party and every other party.[8] Multilateral treaties may be regional or may involve states across the world.[9] Treaties of "mutual guarantee" are international compacts, e.g., the Treaty of Locarno which guarantees each signatory against attack from another.[8]
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Reservations are essentially caveats to a state's acceptance of a treaty. Reservations are unilateral statements purporting to exclude or to modify the legal obligation and its effects on the reserving state.[10] These must be included at the time of signing or ratification, i.e. "a party cannot add a reservation after it has already joined a treaty". Article 19 of the Vienna Convention on the law of Treaties in 1969.
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Originally, international law was unaccepting of treaty reservations, rejecting them unless all parties to the treaty accepted the same reservations. However, in the interest of encouraging the largest number of states to join treaties, a more permissive rule regarding reservations has emerged. While some treaties still expressly forbid any reservations, they are now generally permitted to the extent that they are not inconsistent with the goals and purposes of the treaty.
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When a state limits its treaty obligations through reservations, other states party to that treaty have the option to accept those reservations, object to them, or object and oppose them. If the state accepts them (or fails to act at all), both the reserving state and the accepting state are relieved of the reserved legal obligation as concerns their legal obligations to each other (accepting the reservation does not change the accepting state's legal obligations as concerns other parties to the treaty). If the state opposes, the parts of the treaty affected by the reservation drop out completely and no longer create any legal obligations on the reserving and accepting state, again only as concerns each other. Finally, if the state objects and opposes, there are no legal obligations under that treaty between those two state parties whatsoever. The objecting and opposing state essentially refuses to acknowledge the reserving state is a party to the treaty at all.[11]
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There are three ways an existing treaty can be amended. First, a formal amendment requires State parties to the treaty to go through the ratification process all over again. The re-negotiation of treaty provisions can be long and protracted, and often some parties to the original treaty will not become parties to the amended treaty. When determining the legal obligations of states, one party to the original treaty and one party to the amended treaty, the states will only be bound by the terms they both agreed upon. Treaties can also be amended informally by the treaty executive council when the changes are only procedural, technical change in customary international law can also amend a treaty, where state behavior evinces a new interpretation of the legal obligations under the treaty. Minor corrections to a treaty may be adopted by a procès-verbal; but a procès-verbal is generally reserved for changes to rectify obvious errors in the text adopted, i.e. where the text adopted does not correctly reflect the intention of the parties adopting it.
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In international law and international relations, a protocol is generally a treaty or international agreement that supplements a previous treaty or international agreement. A protocol can amend the previous treaty, or add additional provisions. Parties to the earlier agreement are not required to adopt the protocol. Sometimes this is made clearer by calling it an "optional protocol", especially where many parties to the first agreement do not support the protocol.
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Some examples: the United Nations Framework Convention on Climate Change (UNFCCC) established a framework for the development of binding greenhouse gas emission limits, while the Kyoto Protocol contained the specific provisions and regulations later agreed upon.
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Treaties may be seen as 'self-executing', in that merely becoming a party puts the treaty and all of its obligations in action. Other treaties may be non-self-executing and require 'implementing legislation'—a change in the domestic law of a state party that will direct or enable it to fulfill treaty obligations. An example of a treaty requiring such legislation would be one mandating local prosecution by a party for particular crimes.
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The division between the two is often not clear and is often politicized in disagreements within a government over a treaty, since a non-self-executing treaty cannot be acted on without the proper change in domestic law. If a treaty requires implementing legislation, a state may be in default of its obligations by the failure of its legislature to pass the necessary domestic laws.
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The language of treaties, like that of any law or contract, must be interpreted when the wording does not seem clear or it is not immediately apparent how it should be applied in a perhaps unforeseen circumstance. The Vienna Convention states that treaties are to be interpreted "in good faith" according to the "ordinary meaning given to the terms of the treaty in their context and in the light of its object and purpose". International legal experts also often invoke the 'principle of maximum effectiveness,' which interprets treaty language as having the fullest force and effect possible to establish obligations between the parties.
|
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|
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No one party to a treaty can impose its particular interpretation of the treaty upon the other parties. Consent may be implied, however, if the other parties fail to explicitly disavow that initially unilateral interpretation, particularly if that state has acted upon its view of the treaty without complaint. Consent by all parties to the treaty to a particular interpretation has the legal effect of adding another clause to the treaty – this is commonly called an 'authentic interpretation'.
|
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International tribunals and arbiters are often called upon to resolve substantial disputes over treaty interpretations. To establish the meaning in context, these judicial bodies may review the preparatory work from the negotiation and drafting of the treaty as well as the final, signed treaty itself.
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|
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One significant part of treaty-making is that signing a treaty implies a recognition that the other side is a sovereign state and that the agreement being considered is enforceable under international law. Hence, nations can be very careful about terming an agreement to be a treaty. For example, within the United States, agreements between states are compacts and agreements between states and the federal government or between agencies of the government are memoranda of understanding.
|
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Another situation can occur when one party wishes to create an obligation under international law, but the other party does not. This factor has been at work with respect to discussions between North Korea and the United States over security guarantees and nuclear proliferation.
|
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|
53 |
+
The definition of the English word 'Treaty' varies depending on the professional context(s).
|
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|
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Treaties are not necessarily permanently binding upon the signatory parties. As obligations in international law are traditionally viewed as arising only from the consent of states, many treaties expressly allow a state to withdraw as long as it follows certain procedures of notification. For example, the Single Convention on Narcotic Drugs provides that the treaty will terminate if, as a result of denunciations, the number of parties falls below 40. Many treaties expressly forbid withdrawal. Article 56 of the Vienna Convention on the Law of Treaties provides that where a treaty is silent over whether or not it can be denounced there is a rebuttable presumption that it cannot be unilaterally denounced unless:
|
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|
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+
The possibility of withdrawal depends on the terms of the treaty and its travaux preparatory. It has, for example, been held that it is not possible to withdraw from the International Covenant on Civil and Political Rights. When North Korea declared its intention to do this the Secretary-General of the United Nations, acting as registrar, said that original signatories of the ICCPR had not overlooked the possibility of explicitly providing for withdrawal, but rather had deliberately intended not to provide for it. Consequently, withdrawal was not possible.[12]
|
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In practice, because of sovereignty, any state can purport to withdraw from any treaty at any time, and cease to abide by its terms. The question of whether this is lawful can be regarded as the success or failure to anticipate community acquiescence or enforcement, that is, how other states will react; for instance, another state might impose sanctions or go to war over a treaty violation.
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If a state party's withdrawal is successful, its obligations under that treaty are considered terminated, and withdrawal by one party from a bilateral treaty terminates the treaty. When a state withdraws from a multilateral treaty, that treaty will still otherwise remain in force among the other parties, unless, it otherwise should or could be interpreted as agreed upon between the remaining states parties to the treaty.[citation needed]
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If a party has materially violated or breached its treaty obligations, the other parties may invoke this breach as grounds for temporarily suspending their obligations to that party under the treaty. A material breach may also be invoked as grounds for permanently terminating the treaty itself.[13]
|
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A treaty breach does not automatically suspend or terminate treaty relations, however. It depends on how the other parties regard the breach and how they resolve to respond to it. Sometimes treaties will provide for the seriousness of a breach to be determined by a tribunal or other independent arbiter.[14] An advantage of such an arbiter is that it prevents a party from prematurely and perhaps wrongfully suspending or terminating its own obligations due to another's an alleged material breach.
|
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Treaties sometimes include provisions for self-termination, meaning that the treaty is automatically terminated if certain defined conditions are met. Some treaties are intended by the parties to be only temporarily binding and are set to expire on a given date. Other treaties may self-terminate if the treaty is meant to exist only under certain conditions.[15]
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A party may claim that a treaty should be terminated, even absent an express provision, if there has been a fundamental change in circumstances. Such a change is sufficient if unforeseen, if it undermined the “essential basis” of consent by a party if it radically transforms the extent of obligations between the parties, and if the obligations are still to be performed. A party cannot base this claim on change brought about by its own breach of the treaty. This claim also cannot be used to invalidate treaties that established or redrew political boundaries.[15]
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|
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There are several reasons an otherwise valid and agreed upon treaty may be rejected as a binding international agreement, most of which involve problems created at the formation of the treaty.[citation needed] For example, the serial Japan-Korea treaties of 1905, 1907 and 1910 were protested;[16] and they were confirmed as "already null and void" in the 1965 Treaty on Basic Relations between Japan and the Republic of Korea.[17]
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|
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A party's consent to a treaty is invalid if it had been given by an agent or body without power to do so under that state's domestic laws. States are reluctant to inquire into the internal affairs and processes of other states, and so a "manifest violation" is required such that it would be "objectively evident to any State dealing with the matter". A strong presumption exists internationally that a head of state has acted within his proper authority. It seems that no treaty has ever actually been invalidated on this provision.[citation needed]
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Consent is also invalid if it is given by a representative who ignored restrictions he is subject to by his sovereign during the negotiations if the other parties to the treaty were notified of those restrictions prior to his signing.[citation needed]
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According to the preamble in The Law of Treaties, treaties are a source of international law. If an act or lack thereof is condemned under international law, the act will not assume international legality even if approved by internal law.[18] This means that in case of a conflict with domestic law, international law will always prevail.[19]
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Articles 46–53 of the Vienna Convention on the Law of Treaties set out the only ways that treaties can be invalidated—considered unenforceable and void under international law. A treaty will be invalidated due to either the circumstances by which a state party joined the treaty or due to the content of the treaty itself. Invalidation is separate from withdrawal, suspension, or termination (addressed above), which all involve an alteration in the consent of the parties of a previously valid treaty rather than the invalidation of that consent in the first place.
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A governmental leader's consent may be invalidated if there was an erroneous understanding of a fact or situation at the time of conclusion, which formed the "essential basis" of the state's consent. Consent will not be invalidated if the misunderstanding was due to the state's own conduct, or if the truth should have been evident.
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Consent will also be invalidated if it was induced by the fraudulent conduct of another party, or by the direct or indirect "corruption" of its representative by another party to the treaty. Coercion of either a representative or the state itself through the threat or use of force, if used to obtain the consent of that state to a treaty, will invalidate that consent.
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A treaty is null and void if it is in violation of a peremptory norm. These norms, unlike other principles of customary law, are recognized as permitting no violations and so cannot be altered through treaty obligations. These are limited to such universally accepted prohibitions as those against the aggressive use of force, genocide and other crimes against humanity, piracy, hostilities directed at civilian population, racial discrimination and apartheid, slavery and torture,[20] meaning that no state can legally assume an obligation to commit or permit such acts.[21]
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The United Nations Charter states that treaties must be registered with the UN to be invoked before it or enforced in its judiciary organ, the International Court of Justice. This was done to prevent the proliferation of secret treaties that occurred in the 19th and 20th centuries. Section 103 of the Charter also states that its members' obligations under it outweigh any competing obligations under other treaties.
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After their adoption, treaties, as well as their amendments, have to follow the official legal procedures of the United Nations, as applied by the Office of Legal Affairs, including signature, ratification and entry into force.
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In function and effectiveness, the UN has been compared to the pre-Constitutional United States Federal government by some,[22] giving a comparison between modern treaty law and the historical Articles of Confederation.
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The constitution of Australia allows the executive government to enter into treaties, but the practice is for treaties to be tabled in both houses of parliament at least 15 days before signing. Treaties are considered a source of Australian law but sometimes require an act of parliament to be passed depending on their nature. Treaties are administered and maintained by the Department of Foreign Affairs and Trade, which advised that the "general position under Australian law is that treaties which Australia has joined, apart from those terminating a state of war, are not directly and automatically incorporated into Australian law. Signature and ratification do not, of themselves, make treaties operate domestically. In the absence of legislation, treaties cannot impose obligations on individuals nor create rights in domestic law. Nevertheless, international law, including treaty law, is a legitimate and important influence on the development of the common law and may be used in the interpretation of statutes."[23] Treaties can be implemented by executive action, and often, existing laws are sufficient to ensure a treaty is honored.
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Australian treaties generally fall under the following categories: extradition, postal agreements and money orders, trade and international conventions.
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The federal constitution of Brazil states that the power to enter into treaties is vested in the president of Brazil and that such treaties must be approved by the Congress of Brazil (Articles 84, Clause VIII, and 49, Clause I). In practice, that has been interpreted as meaning that the executive branch is free to negotiate and sign a treaty but that its ratification by the president requires the prior approval of Congress. Additionally, the Supreme Federal Court has ruled that after ratification and entry into force, a treaty must be incorporated into domestic law by means of a presidential decree published in the federal register for it to be valid in Brazil and applicable by the Brazilian authorities.
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The court has established that treaties are subject to constitutional review and enjoy the same hierarchical position as ordinary legislation (leis ordinárias, or "ordinary laws", in Portuguese). A more recent ruling by the Supreme Court of Brazil in 2008 has altered that somewhat by stating that treaties containing human rights provisions enjoy a status above that of ordinary legislation, subject to only the constitution itself. Additionally, the 45th Amendment to the constitution makes human rights treaties approved by Congress by a special procedure enjoy the same hierarchical position as a constitutional amendment. The hierarchical position of treaties in relation to domestic legislation is of relevance to the discussion on whether and how the latter can abrogate the former and vice versa.
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The constitution does not have a supremacy clause with the same effects as the one in the US constitution, which is of interest to the discussion on the relation between treaties and legislation of the states of Brazil.
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In India, subjects are divided into three lists: union, state and concurrent. In the normal legislation process, the subjects on the union list must be legislated by the Parliament of India. For subjects on the state list, only the respective state legislature can legislate. For subjects on the concurrent list, both governments can make laws. However, to implement international treaties, Parliament can legislate on any subject and even override the general division of subject lists.
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In the United States, the term "treaty" has a different, more restricted legal sense than in international law. US law distinguishes what it calls "treaties" from "executive agreements", which are either "congressional-executive agreements" or "sole executive agreements". The classes are all equally treaties under international law; they are distinct only in internal US law.
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The distinctions are primarily concerning their method of approval. Treaties require advice and consent by two-thirds of the Senators present, but sole executive agreements may be executed by the President acting alone. Some treaties grant the President the authority to fill in the gaps with executive agreements, rather than additional treaties or protocols. Finally, congressional-executive agreements require majority approval by both the House and the Senate before or after the treaty is signed by the President.
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Currently, international agreements are ten times more likely to be executed by executive agreement. Despite the relative ease of executive agreements, the President still often chooses to pursue the formal treaty process over an executive agreement to gain congressional support on matters that require the Congress to pass implementing legislation or appropriate funds as well as for agreements that impose long-term, complex legal obligations on the US. For example, the deal by the United States, Iran, and other countries is not a treaty.
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See the article on the Bricker Amendment for the history of the relationship between treaty powers and Constitutional provisions.
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The US Supreme Court ruled in the Head Money Cases that "treaties" do not have a privileged position over Acts of Congress and can be repealed or modified, for the purposes of US law, by any subsequent Act of Congress, just like any other regular law. The court also ruled in Reid v. Covert that treaty provisions that conflict with the US Constitution are null and void under US law. [24]
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Treaties formed an important part of European colonization and, in many parts of the world, Europeans attempted to legitimize their sovereignty by signing treaties with indigenous peoples. In most cases, these treaties were in extremely disadvantageous terms to the native people, who often did not appreciate the implications of what they were signing.[citation needed]
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In some rare cases, such as with Ethiopia and Qing Dynasty China, the local governments were able to use the treaties to at least mitigate the impact of European colonization. This involved learning the intricacies of European diplomatic customs and then using the treaties to prevent power from overstepping their agreement or by playing different powers against each other.[citation needed]
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In other cases, such as New Zealand with the Māori and Canada with its First Nations people, treaties allowed native peoples to maintain a minimum amount of autonomy. Such treaties between colonizers and indigenous peoples are an important part of political discourse in the late 20th and early 21st century, the treaties being discussed have international standing as has been stated in a treaty study by the UN.[25][26]
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In the case of Indigenous Australians, no treaty was ever entered into with the Indigenous peoples entitling the Europeans to land ownership, mostly adopting the doctrine of terra nullius (with the exception of South Australia). This concept was later overturned by Mabo v Queensland, which established the concept of native title in Australia well after colonization was already a fait accompli.
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On 10 December 2019,[27] the Victorian First Peoples' Assembly met for the first time in the Upper House of the Parliament of Victoria in Melbourne. The main aim of the Assembly is to work out the rules by which individual treaties would be negotiated between the Victorian Government and individual Aboriginal Victorian peoples. It will also establish an independent Treaty Authority, which will oversee the negotiations between the Aboriginal groups and the Victorian Government and ensure fairness.[28]
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Prior to 1871, the government of the United States regularly entered into treaties with Native Americans but the Indian Appropriations Act of March 3, 1871 (ch. 120, 16 Stat. 563) had a rider (25 U.S.C. § 71) attached that effectively ended the President's treaty-making by providing that no Indian nation or tribe shall be acknowledged as an independent nation, tribe, or power with whom the United States may contract by treaty. The federal government continued to provide similar contractual relations with the Indian tribes after 1871 by agreements, statutes, and executive orders.[29]
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The dictionary definition of treaty at Wiktionary
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Works related to Treaties at Wikisource
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A treaty is a formal written agreement entered into by actors in international law, namely sovereign states and international organizations.[1] A treaty may also be known as an international agreement, protocol, covenant, convention, pact, or exchange of letters, among other terms. Regardless of terminology, only instruments that are binding upon the parties are considered treaties subject to international law.[2]
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Treaties can be loosely compared to contracts, in that the parties willingly assume binding obligations among themselves, and any party that breaches its obligations can be held liable under international law.[3][4] Treaties vary significantly in substance and complexity, and may govern a wide variety of matters, such as territorial boundaries, trade and commerce, political alliances, and more.
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International law on treaties have mostly been codified by the Vienna Convention on the Law of Treaties, which sets forth the rules and procedures for creating, enforcing, amending, and interpreting treaties.[5] As one of the earliest manifestations of international relations, treaties are recognized as a primary source of international law.[6]
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A treaty is an official, express written agreement that states use to legally bind themselves.[7] A treaty is an official document that expresses that agreement in words; it is also the objective outcome of a ceremonial occasion which acknowledges the parties and their defined relationships. There is no prerequisite of academic accreditation or cross-professional contextual knowledge required to publish a treaty.
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Since the late 19th century, most treaties have followed a fairly consistent format. A treaty typically begins with a preamble describing the "High Contracting Parties" and their shared objectives in executing the treaty, as well as summarizing any underlying events (such as the aftermath of a war in the case of a peace treaty). Modern preambles are sometimes structured as a single very long sentence formatted into multiple paragraphs for readability, in which each of the paragraphs begins with a gerund (desiring, recognizing, having, etc.).
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The High Contracting Parties; referred to as either the official title of the head of state (but not including the personal name), e.g. His Majesty The King of X or His Excellency The President of Y, or alternatively in the form of " Government of Z"; are enumerated, and along with the full names and titles of their plenipotentiary representatives, and a boilerplate clause about how their representatives have communicated (or exchanged) their full powers (i.e., the official documents appointing them to act on behalf of their respective high contracting party) and found them in good or proper form. However, under the Vienna Convention on the Law of Treaties if the representative is the head of state, head of government or minister of foreign affairs, no special document is needed, as holding such high office is sufficient.
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The end of the preamble and the start of the actual agreement is often signaled by the words "have agreed as follows".
|
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+
After the preamble comes numbered articles, which contain the substance of the parties' actual agreement. Each article heading usually encompasses a paragraph. A long treaty may further group articles under chapter headings.
|
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+
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+
Modern treaties, regardless of subject matter, usually contain articles governing where the final authentic copies of the treaty will be deposited and how any subsequent disputes as to their interpretation will be peacefully resolved.
|
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The end of a treaty, the eschatocol (or closing protocol), is often signaled by a clause like "in witness whereof" or "in faith whereof", the parties have affixed their signatures, followed by the words "DONE at", then the site(s) of the treaty's execution and the date(s) of its execution. The date is typically written in its most formal, non-numerical form. For example, the Charter of the United Nations was "DONE at the city of San Francisco the twenty-sixth day of June, one thousand nine hundred and forty-five". If the treaty is executed in multiple copies in different languages, that fact is always noted and is followed by a stipulation that the versions in different languages are equally authentic.
|
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The signatures of the parties' representatives follow at the very end. When the text of a treaty is later reprinted, such as in a collection of treaties currently in effect, an editor will often append the dates on which the respective parties ratified the treaty and on which it came into effect for each party.
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Bilateral treaties are concluded between two states or entities.[8] It is possible for a bilateral treaty to have more than two parties; for example, each of the bilateral treaties between Switzerland and the European Union (EU) has seventeen parties: The parties are divided into two groups, the Swiss ("on the one part") and the EU and its member states ("on the other part"). The treaty establishes rights and obligations between the Swiss and the EU and the member states severally—it does not establish any rights and obligations amongst the EU and its member states.[citation needed]
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A multilateral treaty is concluded among several countries, establishing rights and obligations between each party and every other party.[8] Multilateral treaties may be regional or may involve states across the world.[9] Treaties of "mutual guarantee" are international compacts, e.g., the Treaty of Locarno which guarantees each signatory against attack from another.[8]
|
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|
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+
Reservations are essentially caveats to a state's acceptance of a treaty. Reservations are unilateral statements purporting to exclude or to modify the legal obligation and its effects on the reserving state.[10] These must be included at the time of signing or ratification, i.e. "a party cannot add a reservation after it has already joined a treaty". Article 19 of the Vienna Convention on the law of Treaties in 1969.
|
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+
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+
Originally, international law was unaccepting of treaty reservations, rejecting them unless all parties to the treaty accepted the same reservations. However, in the interest of encouraging the largest number of states to join treaties, a more permissive rule regarding reservations has emerged. While some treaties still expressly forbid any reservations, they are now generally permitted to the extent that they are not inconsistent with the goals and purposes of the treaty.
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+
When a state limits its treaty obligations through reservations, other states party to that treaty have the option to accept those reservations, object to them, or object and oppose them. If the state accepts them (or fails to act at all), both the reserving state and the accepting state are relieved of the reserved legal obligation as concerns their legal obligations to each other (accepting the reservation does not change the accepting state's legal obligations as concerns other parties to the treaty). If the state opposes, the parts of the treaty affected by the reservation drop out completely and no longer create any legal obligations on the reserving and accepting state, again only as concerns each other. Finally, if the state objects and opposes, there are no legal obligations under that treaty between those two state parties whatsoever. The objecting and opposing state essentially refuses to acknowledge the reserving state is a party to the treaty at all.[11]
|
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|
33 |
+
There are three ways an existing treaty can be amended. First, a formal amendment requires State parties to the treaty to go through the ratification process all over again. The re-negotiation of treaty provisions can be long and protracted, and often some parties to the original treaty will not become parties to the amended treaty. When determining the legal obligations of states, one party to the original treaty and one party to the amended treaty, the states will only be bound by the terms they both agreed upon. Treaties can also be amended informally by the treaty executive council when the changes are only procedural, technical change in customary international law can also amend a treaty, where state behavior evinces a new interpretation of the legal obligations under the treaty. Minor corrections to a treaty may be adopted by a procès-verbal; but a procès-verbal is generally reserved for changes to rectify obvious errors in the text adopted, i.e. where the text adopted does not correctly reflect the intention of the parties adopting it.
|
34 |
+
|
35 |
+
In international law and international relations, a protocol is generally a treaty or international agreement that supplements a previous treaty or international agreement. A protocol can amend the previous treaty, or add additional provisions. Parties to the earlier agreement are not required to adopt the protocol. Sometimes this is made clearer by calling it an "optional protocol", especially where many parties to the first agreement do not support the protocol.
|
36 |
+
|
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+
Some examples: the United Nations Framework Convention on Climate Change (UNFCCC) established a framework for the development of binding greenhouse gas emission limits, while the Kyoto Protocol contained the specific provisions and regulations later agreed upon.
|
38 |
+
|
39 |
+
Treaties may be seen as 'self-executing', in that merely becoming a party puts the treaty and all of its obligations in action. Other treaties may be non-self-executing and require 'implementing legislation'—a change in the domestic law of a state party that will direct or enable it to fulfill treaty obligations. An example of a treaty requiring such legislation would be one mandating local prosecution by a party for particular crimes.
|
40 |
+
|
41 |
+
The division between the two is often not clear and is often politicized in disagreements within a government over a treaty, since a non-self-executing treaty cannot be acted on without the proper change in domestic law. If a treaty requires implementing legislation, a state may be in default of its obligations by the failure of its legislature to pass the necessary domestic laws.
|
42 |
+
|
43 |
+
The language of treaties, like that of any law or contract, must be interpreted when the wording does not seem clear or it is not immediately apparent how it should be applied in a perhaps unforeseen circumstance. The Vienna Convention states that treaties are to be interpreted "in good faith" according to the "ordinary meaning given to the terms of the treaty in their context and in the light of its object and purpose". International legal experts also often invoke the 'principle of maximum effectiveness,' which interprets treaty language as having the fullest force and effect possible to establish obligations between the parties.
|
44 |
+
|
45 |
+
No one party to a treaty can impose its particular interpretation of the treaty upon the other parties. Consent may be implied, however, if the other parties fail to explicitly disavow that initially unilateral interpretation, particularly if that state has acted upon its view of the treaty without complaint. Consent by all parties to the treaty to a particular interpretation has the legal effect of adding another clause to the treaty – this is commonly called an 'authentic interpretation'.
|
46 |
+
|
47 |
+
International tribunals and arbiters are often called upon to resolve substantial disputes over treaty interpretations. To establish the meaning in context, these judicial bodies may review the preparatory work from the negotiation and drafting of the treaty as well as the final, signed treaty itself.
|
48 |
+
|
49 |
+
One significant part of treaty-making is that signing a treaty implies a recognition that the other side is a sovereign state and that the agreement being considered is enforceable under international law. Hence, nations can be very careful about terming an agreement to be a treaty. For example, within the United States, agreements between states are compacts and agreements between states and the federal government or between agencies of the government are memoranda of understanding.
|
50 |
+
|
51 |
+
Another situation can occur when one party wishes to create an obligation under international law, but the other party does not. This factor has been at work with respect to discussions between North Korea and the United States over security guarantees and nuclear proliferation.
|
52 |
+
|
53 |
+
The definition of the English word 'Treaty' varies depending on the professional context(s).
|
54 |
+
|
55 |
+
Treaties are not necessarily permanently binding upon the signatory parties. As obligations in international law are traditionally viewed as arising only from the consent of states, many treaties expressly allow a state to withdraw as long as it follows certain procedures of notification. For example, the Single Convention on Narcotic Drugs provides that the treaty will terminate if, as a result of denunciations, the number of parties falls below 40. Many treaties expressly forbid withdrawal. Article 56 of the Vienna Convention on the Law of Treaties provides that where a treaty is silent over whether or not it can be denounced there is a rebuttable presumption that it cannot be unilaterally denounced unless:
|
56 |
+
|
57 |
+
The possibility of withdrawal depends on the terms of the treaty and its travaux preparatory. It has, for example, been held that it is not possible to withdraw from the International Covenant on Civil and Political Rights. When North Korea declared its intention to do this the Secretary-General of the United Nations, acting as registrar, said that original signatories of the ICCPR had not overlooked the possibility of explicitly providing for withdrawal, but rather had deliberately intended not to provide for it. Consequently, withdrawal was not possible.[12]
|
58 |
+
|
59 |
+
In practice, because of sovereignty, any state can purport to withdraw from any treaty at any time, and cease to abide by its terms. The question of whether this is lawful can be regarded as the success or failure to anticipate community acquiescence or enforcement, that is, how other states will react; for instance, another state might impose sanctions or go to war over a treaty violation.
|
60 |
+
|
61 |
+
If a state party's withdrawal is successful, its obligations under that treaty are considered terminated, and withdrawal by one party from a bilateral treaty terminates the treaty. When a state withdraws from a multilateral treaty, that treaty will still otherwise remain in force among the other parties, unless, it otherwise should or could be interpreted as agreed upon between the remaining states parties to the treaty.[citation needed]
|
62 |
+
|
63 |
+
If a party has materially violated or breached its treaty obligations, the other parties may invoke this breach as grounds for temporarily suspending their obligations to that party under the treaty. A material breach may also be invoked as grounds for permanently terminating the treaty itself.[13]
|
64 |
+
|
65 |
+
A treaty breach does not automatically suspend or terminate treaty relations, however. It depends on how the other parties regard the breach and how they resolve to respond to it. Sometimes treaties will provide for the seriousness of a breach to be determined by a tribunal or other independent arbiter.[14] An advantage of such an arbiter is that it prevents a party from prematurely and perhaps wrongfully suspending or terminating its own obligations due to another's an alleged material breach.
|
66 |
+
|
67 |
+
Treaties sometimes include provisions for self-termination, meaning that the treaty is automatically terminated if certain defined conditions are met. Some treaties are intended by the parties to be only temporarily binding and are set to expire on a given date. Other treaties may self-terminate if the treaty is meant to exist only under certain conditions.[15]
|
68 |
+
|
69 |
+
A party may claim that a treaty should be terminated, even absent an express provision, if there has been a fundamental change in circumstances. Such a change is sufficient if unforeseen, if it undermined the “essential basis” of consent by a party if it radically transforms the extent of obligations between the parties, and if the obligations are still to be performed. A party cannot base this claim on change brought about by its own breach of the treaty. This claim also cannot be used to invalidate treaties that established or redrew political boundaries.[15]
|
70 |
+
|
71 |
+
There are several reasons an otherwise valid and agreed upon treaty may be rejected as a binding international agreement, most of which involve problems created at the formation of the treaty.[citation needed] For example, the serial Japan-Korea treaties of 1905, 1907 and 1910 were protested;[16] and they were confirmed as "already null and void" in the 1965 Treaty on Basic Relations between Japan and the Republic of Korea.[17]
|
72 |
+
|
73 |
+
A party's consent to a treaty is invalid if it had been given by an agent or body without power to do so under that state's domestic laws. States are reluctant to inquire into the internal affairs and processes of other states, and so a "manifest violation" is required such that it would be "objectively evident to any State dealing with the matter". A strong presumption exists internationally that a head of state has acted within his proper authority. It seems that no treaty has ever actually been invalidated on this provision.[citation needed]
|
74 |
+
|
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+
Consent is also invalid if it is given by a representative who ignored restrictions he is subject to by his sovereign during the negotiations if the other parties to the treaty were notified of those restrictions prior to his signing.[citation needed]
|
76 |
+
|
77 |
+
According to the preamble in The Law of Treaties, treaties are a source of international law. If an act or lack thereof is condemned under international law, the act will not assume international legality even if approved by internal law.[18] This means that in case of a conflict with domestic law, international law will always prevail.[19]
|
78 |
+
|
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+
Articles 46–53 of the Vienna Convention on the Law of Treaties set out the only ways that treaties can be invalidated—considered unenforceable and void under international law. A treaty will be invalidated due to either the circumstances by which a state party joined the treaty or due to the content of the treaty itself. Invalidation is separate from withdrawal, suspension, or termination (addressed above), which all involve an alteration in the consent of the parties of a previously valid treaty rather than the invalidation of that consent in the first place.
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80 |
+
|
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+
A governmental leader's consent may be invalidated if there was an erroneous understanding of a fact or situation at the time of conclusion, which formed the "essential basis" of the state's consent. Consent will not be invalidated if the misunderstanding was due to the state's own conduct, or if the truth should have been evident.
|
82 |
+
|
83 |
+
Consent will also be invalidated if it was induced by the fraudulent conduct of another party, or by the direct or indirect "corruption" of its representative by another party to the treaty. Coercion of either a representative or the state itself through the threat or use of force, if used to obtain the consent of that state to a treaty, will invalidate that consent.
|
84 |
+
|
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+
A treaty is null and void if it is in violation of a peremptory norm. These norms, unlike other principles of customary law, are recognized as permitting no violations and so cannot be altered through treaty obligations. These are limited to such universally accepted prohibitions as those against the aggressive use of force, genocide and other crimes against humanity, piracy, hostilities directed at civilian population, racial discrimination and apartheid, slavery and torture,[20] meaning that no state can legally assume an obligation to commit or permit such acts.[21]
|
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+
|
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+
The United Nations Charter states that treaties must be registered with the UN to be invoked before it or enforced in its judiciary organ, the International Court of Justice. This was done to prevent the proliferation of secret treaties that occurred in the 19th and 20th centuries. Section 103 of the Charter also states that its members' obligations under it outweigh any competing obligations under other treaties.
|
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|
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+
After their adoption, treaties, as well as their amendments, have to follow the official legal procedures of the United Nations, as applied by the Office of Legal Affairs, including signature, ratification and entry into force.
|
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+
|
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+
In function and effectiveness, the UN has been compared to the pre-Constitutional United States Federal government by some,[22] giving a comparison between modern treaty law and the historical Articles of Confederation.
|
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+
|
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+
The constitution of Australia allows the executive government to enter into treaties, but the practice is for treaties to be tabled in both houses of parliament at least 15 days before signing. Treaties are considered a source of Australian law but sometimes require an act of parliament to be passed depending on their nature. Treaties are administered and maintained by the Department of Foreign Affairs and Trade, which advised that the "general position under Australian law is that treaties which Australia has joined, apart from those terminating a state of war, are not directly and automatically incorporated into Australian law. Signature and ratification do not, of themselves, make treaties operate domestically. In the absence of legislation, treaties cannot impose obligations on individuals nor create rights in domestic law. Nevertheless, international law, including treaty law, is a legitimate and important influence on the development of the common law and may be used in the interpretation of statutes."[23] Treaties can be implemented by executive action, and often, existing laws are sufficient to ensure a treaty is honored.
|
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+
|
95 |
+
Australian treaties generally fall under the following categories: extradition, postal agreements and money orders, trade and international conventions.
|
96 |
+
|
97 |
+
The federal constitution of Brazil states that the power to enter into treaties is vested in the president of Brazil and that such treaties must be approved by the Congress of Brazil (Articles 84, Clause VIII, and 49, Clause I). In practice, that has been interpreted as meaning that the executive branch is free to negotiate and sign a treaty but that its ratification by the president requires the prior approval of Congress. Additionally, the Supreme Federal Court has ruled that after ratification and entry into force, a treaty must be incorporated into domestic law by means of a presidential decree published in the federal register for it to be valid in Brazil and applicable by the Brazilian authorities.
|
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+
|
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+
The court has established that treaties are subject to constitutional review and enjoy the same hierarchical position as ordinary legislation (leis ordinárias, or "ordinary laws", in Portuguese). A more recent ruling by the Supreme Court of Brazil in 2008 has altered that somewhat by stating that treaties containing human rights provisions enjoy a status above that of ordinary legislation, subject to only the constitution itself. Additionally, the 45th Amendment to the constitution makes human rights treaties approved by Congress by a special procedure enjoy the same hierarchical position as a constitutional amendment. The hierarchical position of treaties in relation to domestic legislation is of relevance to the discussion on whether and how the latter can abrogate the former and vice versa.
|
100 |
+
|
101 |
+
The constitution does not have a supremacy clause with the same effects as the one in the US constitution, which is of interest to the discussion on the relation between treaties and legislation of the states of Brazil.
|
102 |
+
|
103 |
+
In India, subjects are divided into three lists: union, state and concurrent. In the normal legislation process, the subjects on the union list must be legislated by the Parliament of India. For subjects on the state list, only the respective state legislature can legislate. For subjects on the concurrent list, both governments can make laws. However, to implement international treaties, Parliament can legislate on any subject and even override the general division of subject lists.
|
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+
|
105 |
+
In the United States, the term "treaty" has a different, more restricted legal sense than in international law. US law distinguishes what it calls "treaties" from "executive agreements", which are either "congressional-executive agreements" or "sole executive agreements". The classes are all equally treaties under international law; they are distinct only in internal US law.
|
106 |
+
|
107 |
+
The distinctions are primarily concerning their method of approval. Treaties require advice and consent by two-thirds of the Senators present, but sole executive agreements may be executed by the President acting alone. Some treaties grant the President the authority to fill in the gaps with executive agreements, rather than additional treaties or protocols. Finally, congressional-executive agreements require majority approval by both the House and the Senate before or after the treaty is signed by the President.
|
108 |
+
|
109 |
+
Currently, international agreements are ten times more likely to be executed by executive agreement. Despite the relative ease of executive agreements, the President still often chooses to pursue the formal treaty process over an executive agreement to gain congressional support on matters that require the Congress to pass implementing legislation or appropriate funds as well as for agreements that impose long-term, complex legal obligations on the US. For example, the deal by the United States, Iran, and other countries is not a treaty.
|
110 |
+
|
111 |
+
See the article on the Bricker Amendment for the history of the relationship between treaty powers and Constitutional provisions.
|
112 |
+
|
113 |
+
The US Supreme Court ruled in the Head Money Cases that "treaties" do not have a privileged position over Acts of Congress and can be repealed or modified, for the purposes of US law, by any subsequent Act of Congress, just like any other regular law. The court also ruled in Reid v. Covert that treaty provisions that conflict with the US Constitution are null and void under US law. [24]
|
114 |
+
|
115 |
+
Treaties formed an important part of European colonization and, in many parts of the world, Europeans attempted to legitimize their sovereignty by signing treaties with indigenous peoples. In most cases, these treaties were in extremely disadvantageous terms to the native people, who often did not appreciate the implications of what they were signing.[citation needed]
|
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+
|
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+
In some rare cases, such as with Ethiopia and Qing Dynasty China, the local governments were able to use the treaties to at least mitigate the impact of European colonization. This involved learning the intricacies of European diplomatic customs and then using the treaties to prevent power from overstepping their agreement or by playing different powers against each other.[citation needed]
|
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+
|
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+
In other cases, such as New Zealand with the Māori and Canada with its First Nations people, treaties allowed native peoples to maintain a minimum amount of autonomy. Such treaties between colonizers and indigenous peoples are an important part of political discourse in the late 20th and early 21st century, the treaties being discussed have international standing as has been stated in a treaty study by the UN.[25][26]
|
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|
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+
In the case of Indigenous Australians, no treaty was ever entered into with the Indigenous peoples entitling the Europeans to land ownership, mostly adopting the doctrine of terra nullius (with the exception of South Australia). This concept was later overturned by Mabo v Queensland, which established the concept of native title in Australia well after colonization was already a fait accompli.
|
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On 10 December 2019,[27] the Victorian First Peoples' Assembly met for the first time in the Upper House of the Parliament of Victoria in Melbourne. The main aim of the Assembly is to work out the rules by which individual treaties would be negotiated between the Victorian Government and individual Aboriginal Victorian peoples. It will also establish an independent Treaty Authority, which will oversee the negotiations between the Aboriginal groups and the Victorian Government and ensure fairness.[28]
|
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Prior to 1871, the government of the United States regularly entered into treaties with Native Americans but the Indian Appropriations Act of March 3, 1871 (ch. 120, 16 Stat. 563) had a rider (25 U.S.C. § 71) attached that effectively ended the President's treaty-making by providing that no Indian nation or tribe shall be acknowledged as an independent nation, tribe, or power with whom the United States may contract by treaty. The federal government continued to provide similar contractual relations with the Indian tribes after 1871 by agreements, statutes, and executive orders.[29]
|
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|
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The dictionary definition of treaty at Wiktionary
|
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Works related to Treaties at Wikisource
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1 |
+
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|
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+
Slavery has historically been widespread in Africa, and still continues today in some African countries.
|
4 |
+
|
5 |
+
Systems of servitude and slavery were common in parts of Africa in ancient times, as they were in much of the rest of the ancient world. When the Arab slave trade (which started in the 7th century) and Atlantic slave trade (which started in the 16th century) began, many of the pre-existing local African slave systems began supplying captives for slave markets outside Africa.[1]
|
6 |
+
|
7 |
+
Slavery in historical Africa was practiced in many different forms: Debt slavery, enslavement of war captives, military slavery, slavery for prostitution, and criminal slavery were all practiced in various parts of Africa.[2] Slavery for domestic and court purposes was widespread throughout Africa. Plantation slavery also occurred, primarily on the eastern coast of Africa and in parts of West Africa. The importance of domestic plantation slavery increased during the 19th century, due to the abolition of the Atlantic slave trade. Many African states dependent on the international slave trade reoriented their economies towards legitimate commerce worked by slave labor.[3]
|
8 |
+
|
9 |
+
Multiple forms of slavery and servitude have existed throughout African history, and were shaped by indigenous practices of slavery as well as the Roman institution of slavery[citation needed] (and the later Christian views on slavery), the Islamic institutions of slavery via the Arab slave trade, and eventually the Atlantic slave trade.[1]
|
10 |
+
Slavery was a part of the economic structure of African societies for many centuries, although the extent varied.[1]
|
11 |
+
Ibn Battuta, who visited the ancient kingdom of Mali in the mid-14th century, recounts that the local inhabitants vied with each other in the number of slaves and servants they had, and was himself given a slave boy as a "hospitality gift."[4] In sub-Saharan Africa, the slave relationships were often complex, with rights and freedoms given to individuals held in slavery and restrictions on sale and treatment by their masters.[5] Many communities had hierarchies between different types of slaves: for example, differentiating between those who had been born into slavery and those who had been captured through war.[6]
|
12 |
+
|
13 |
+
Travels in the Interior of Africa, Mungo Park, Travels in the Interior of Africa v. II, Chapter XXII – War and Slavery.
|
14 |
+
|
15 |
+
The forms of slavery in Africa were closely related to kinship structures. In many African communities, where land could not be owned, enslavement of individuals was used as a means to increase the influence a person had and expand connections.[7] This made slaves a permanent part of a master's lineage, and the children of slaves could become closely connected with the larger family ties.[1] Children of slaves born into families could be integrated into the master's kinship group and rise to prominent positions within society, even to the level of chief in some instances.[6] However, stigma often remained attached, and there could be strict separations between slave members of a kinship group and those related to the master.[7]
|
16 |
+
|
17 |
+
Chattel slavery is a specific servitude relationship where the slave is treated as the property of the owner. As such, the owner is free to sell, trade, or treat the slave as he would other pieces of property, and the children of the slave often are retained as the property of the master.[8] There is evidence of long histories of chattel slavery in the Nile River valley and North Africa, but evidence is incomplete about the extent and practices of chattel slavery throughout much of the rest of the continent prior to written records by Arab or European traders.[8][9]
|
18 |
+
|
19 |
+
Many slave relationships in Africa revolved around domestic slavery, where slaves would work primarily in the house of the master, but retain some freedoms. Domestic slaves could be considered part of the master's household and would not be sold to others without extreme cause. The slaves could own the profits from their labour (whether in land or in products), and could marry and pass the land on to their children in many cases.[6][10]
|
20 |
+
|
21 |
+
Pawnship, or debt bondage slavery, involves the use of people as collateral to secure the repayment of debt. Slave labor is performed by the debtor, or a relative of the debtor (usually a child). Pawnship was a common form of collateral in West Africa. It involved the pledge of a person or a member of that person's family, to serve another person providing credit. Pawnship was related to, yet distinct from, slavery in most conceptualizations, because the arrangement could include limited, specific terms of service to be provided, and because kinship ties would protect the person from being sold into slavery. Pawnship was a common practice throughout West Africa prior to European contact, including among the Akan people, the Ewe people, the Ga people, the Yoruba people, and the Edo people (in modified forms, it also existed among the Efik people, the Igbo people, the Ijaw people, and the Fon people).[11][12]
|
22 |
+
|
23 |
+
Military slavery involved the acquisition and training of conscripted military units which would retain the identity of military slaves even after their service.[13] Slave soldier groups would be run by a Patron, who could be the head of a government or an independent warlord, and who would send his troops out for money and his own political interests.[13]
|
24 |
+
|
25 |
+
This was most significant in the Nile valley (primarily in Sudan and Uganda), with slave military units organized by various Islamic authorities,[13] and with the war chiefs of Western Africa.[14] The military units in Sudan were formed in the 1800s through large-scale military raiding in the area which is currently the countries of Sudan and South Sudan.[13]
|
26 |
+
|
27 |
+
Moreover, a considerable number of the men born between 1800 and 1849 in West African regions (today Ghana and Burkina Faso) and abducted as slaves to serve in the army in Dutch Indonesia. Interestingly, soldiers were on average 3 cm taller than other West African population. Furthermore, data showed, West Africans were shorter than North Europeans but of almost equal height to South Europeans. This was mainly related to the quality of the nutrition and healthcare.[15]
|
28 |
+
|
29 |
+
Human sacrifice was common in West African states up to and during the 19th century. Although archaeological evidence is not clear on the issue prior to European contact, in those societies that practiced human sacrifice, slaves became the most prominent victims.[1]
|
30 |
+
|
31 |
+
The Annual Customs of Dahomey were the most notorious example of the human sacrifice of slaves, where 500 prisoners would be sacrificed. Sacrifices were carried out all along the West African coast and further inland. Sacrifices were common in the Benin Empire, in what is now Ghana, and in the small independent states in what is now southern Nigeria. In the Ashanti Region, human sacrifice was often combined with capital punishment.[16][17][18]
|
32 |
+
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33 |
+
Many nations such as the Ashanti of present-day Ghana and the Yoruba of present-day Nigeria were involved in slave-trading. Groups such as the Imbangala of Angola and the Nyamwezi of Tanzania would serve as intermediaries or roving bands, waging war on African states to capture people for export as slaves. Historians John Thornton and Linda Heywood of Boston University have estimated that of the Africans captured and then sold as slaves to the New World in the Atlantic slave trade, around 90% were enslaved by fellow Africans who sold them to European traders.[19] Henry Louis Gates, the Harvard Chair of African and African American Studies, has stated that "without complex business partnerships between African elites and European traders and commercial agents, the slave trade to the New World would have been impossible, at least on the scale it occurred."[19]
|
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+
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The entire Bubi ethnic group descends from escaped intertribal slaves owned by various ancient West-central African ethnic groups.[citation needed]
|
36 |
+
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+
Like most other regions of the world, slavery and forced labor existed in many kingdoms and societies of Africa for hundreds of years.[20][5] According to Ugo Kwokeji, early European reports of slavery throughout Africa in the 1600s are unreliable because they often conflated various forms of servitude as equal to chattel slavery.[21]
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The best evidence of slave practices in Africa come from the major kingdoms, particularly along the coast, and there is little evidence of widespread slavery practices in stateless societies.[1][5][6] Slave trading was mostly secondary to other trade relationships; however, there is evidence of a trans-Saharan slave trade route from Roman times which persisted in the area after the fall of the Roman Empire.[8] However, kinship structures and rights provided to slaves (except those captured in war) appears to have limited the scope of slave trading before the start of the Arab slave trade and the Atlantic slave trade.[5]
|
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+
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+
Slavery in northern Africa dates back to ancient Egypt. The New Kingdom (1558–1080 BC) brought in large numbers of slaves as prisoners of war up the Nile valley and used then for domestic and supervised labor.[23] Ptolemaic Egypt (305 BC–30 BC) used both land and sea routes to bring slaves in.[24]
|
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+
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+
Chattel slavery had been legal and widespread throughout North Africa when the region was controlled by the Roman Empire (145 BC – ca. 430 AD), and by the Eastern Romans from 533 to 695). A slave trade bringing Saharans through the desert to North Africa, which existed in Roman times, continued and documentary evidence in the Nile Valley shows it to have been regulated there by treaty.[8] As the Roman republic expanded, it enslaved defeated enemies and Roman conquests in Africa were no exception. For example, Orosius records that Rome enslaved 27,000 people from North Africa in 256 BC.[25] Piracy became an important source of slaves for the Roman Empire and in the 5th century AD pirates would raid coastal North African villages and enslave the captured.[26] Chattel slavery persisted after the fall of the Roman Empire in the largely Christian communities of the region. After the Islamic expansion into most of the region because of the trade expansion across the Sahara,[27] the practices continued and eventually, the assimilative form of slavery spread to major societies on the southern end of the Sahara (such as Mali, Songhai, and Ghana).[1]
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The medieval slave trade in Europe was mainly to the East and South: the Christian Byzantine Empire and the Muslim World were the destinations, Central and Eastern Europe an important source of slaves.[28] Slavery in medieval Europe was so widespread that the Roman Catholic Church repeatedly prohibited it—or at least the export of Christian slaves to non-Christian lands was prohibited at, for example, the Council of Koblenz in 922, the Council of London in 1102, and the Council of Armagh in 1171. Because of religious constraints, the slave trade was carried out in parts of Europe by Iberian Jews (known as Radhanites) who were able to transfer slaves from pagan Central Europe through Christian Western Europe to Muslim countries in Al-Andalus and Africa.[29]
|
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+
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The Mamluks were slave soldiers who converted to Islam and served the Muslim caliphs and the Ayyubid Sultans during the Middle Ages. The first Mamluks served the Abbasid caliphs in 9th century Baghdad. Over time, they became a powerful military caste, and on more than one occasion they seized power for themselves, for example, ruling Egypt from 1250–1517. From 1250 Egypt had been ruled by the Bahri dynasty of Kipchak Turk origin. White enslaved people from the Caucasus served in the army and formed an elite corps of troops, eventually revolting in Egypt to form the Burgi dynasty.[30]
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+
According to Robert Davis between 1 million and 1.25 million Europeans were captured by Barbary pirates and sold as slaves to North Africa and the Ottoman Empire between the 16th and 19th centuries.[31][32] However, to extrapolate his numbers, Davis assumes the number of European slaves captured by Barbary pirates were constant for a 250-year period, stating:
|
48 |
+
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+
"There are no records of how many men, women and children were enslaved, but it is possible to calculate roughly the number of fresh captives that would have been needed to keep populations steady and replace those slaves who died, escaped, were ransomed, or converted to Islam. On this basis, it is thought that around 8,500 new slaves were needed annually to replenish numbers - about 850,000 captives over the century from 1580 to 1680. By extension, for the 250 years between 1530 and 1780, the figure could easily have been as high as 1,250,000."[33]
|
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+
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Davis' numbers have been disputed by other historians, such as David Earle, who cautions that the true picture of European slaves is clouded by the fact the corsairs also seized non-Christian whites from eastern Europe and black people from west Africa.[33]
|
52 |
+
|
53 |
+
In addition, the number of slaves traded was hyperactive, with exaggerated estimates relying on peak years to calculate averages for entire centuries, or millennia. Hence, there were wide fluctuations year-to-year, particularly in the 18th and 19th centuries, given slave imports, and also given the fact that, prior to the 1840s, there are no consistent records. Middle East expert John Wright cautions that modern estimates are based on back-calculations from human observation.[34]
|
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+
|
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+
Such observations, across the late 1500s and early 1600s observers, estimate that around 35,000 European Christian slaves held throughout this period on the Barbary Coast, across Tripoli, Tunis, but mostly in Algiers. The majority were sailors (particularly those who were English), taken with their ships, but others were fishermen and coastal villagers. However, most of these captives were people from lands close to Africa, particularly Spain and Italy.[35]
|
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The coastal villages and towns of Italy, Portugal, Spain, and Mediterranean islands were frequently attacked by the pirates, and long stretches of the Italian and Spanish coasts were almost completely abandoned by their inhabitants; after 1600 Barbary pirates occasionally entered the Atlantic and struck as far north as Iceland. The most famous corsairs were the Ottoman Barbarossa ("Redbeard"), and his older brother Oruç, Turgut Reis (known as Dragut in the West), Kurtoğlu (known as Curtogoli in the West), Kemal Reis, Salih Reis, and Koca Murat Reis.[32][36]
|
58 |
+
|
59 |
+
In 1544, Hayreddin Barbarossa captured Ischia, taking 4,000 prisoners in the process, and deported to slavery some 9,000 inhabitants of Lipari, almost the entire population.[37] In 1551, Dragut enslaved the entire population of the Maltese island Gozo, between 5,000 and 6,000, sending them to Libya. When pirates sacked Vieste in southern Italy in 1554 they took an estimated 7,000 slaves. In 1555, Turgut Reis sailed to Corsica and ransacked Bastia, taking 6,000 prisoners. In 1558 Barbary corsairs captured the town of Ciutadella, destroyed it, slaughtered the inhabitants, and carried off 3,000 survivors to Istanbul as slaves.[38] In 1563 Turgut Reis landed at the shores of the province of Granada, Spain, and captured the coastal settlements in the area like Almuñécar, along with 4,000 prisoners. Barbary pirates frequently attacked the Balearic islands, resulting in many coastal watchtowers and fortified churches being erected. The threat was so severe that Formentera became uninhabited.[39][40]
|
60 |
+
|
61 |
+
Early modern sources are full of descriptions of the sufferings of Christian galley slaves of the Barbary corsairs:
|
62 |
+
|
63 |
+
Those who have not seen a galley at sea, especially in chasing or being chased, cannot well conceive the shock such a spectacle must give to a heart capable of the least tincture of commiseration. To behold ranks and files of half-naked, half-starved, half-tanned meagre wretches, chained to a plank, from whence they remove not for months together (commonly half a year), urged on, even beyond human strength, with cruel and repeated blows on their bare flesh...[41]
|
64 |
+
|
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+
As late as 1798, the islet near Sardinia was attacked by the Tunisians and over 900 inhabitants were taken away as slaves.
|
66 |
+
|
67 |
+
Sahrawi-Moorish society in Northwest Africa was traditionally (and still is, to some extent) stratified into several tribal castes, with the Hassane warrior tribes ruling and extracting tribute – horma – from the subservient Berber-descended znaga tribes. Below them ranked servile groups known as Haratin, a black population.[42]
|
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|
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Enslaved Sub-Saharan Africans were also transported across North Africa into Arabia to do agricultural work because of their resistance to malaria that plagued the Arabia and North Africa at the time of early enslavement. Sub-Saharan Africans were able to endure the malaria-infested lands they were transported to, which is why North Africans were not transported despite their close proximity to Arabia and its surrounding lands.[43]
|
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In the Horn of Africa, the Christian kings of the Ethiopian Empire often exported pagan Nilotic slaves from their western borderlands, or from newly conquered or reconquered lowland territories.[44] The Somali and Afar Muslim sultanates, such as the medieval Adal Sultanate, through their ports also traded Zanj (Bantu) slaves who were captured from the hinterland.[45]
|
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+
|
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Slavery, as practiced in Ethiopia, was essentially domestic and was geared more towards women; this was the trend for most of Africa as well. Women were transported across the Sahara, the Middle East, and the Mediterranean and the Indian Ocean trade more than men.[46] Enslaved people served in the houses of their masters or mistresses, and were not employed to any significant extent for productive purpose. The enslaved were regarded as second-class members of their owners' family.[47] The first attempt to abolish slavery in Ethiopia was made by Emperor Tewodros II (r. 1855–68),[48] although the slave trade was not abolished legally until 1923 with Ethiopia's ascension to the League of Nations.[49] Anti-Slavery Society estimated there were 2 million slaves in the early 1930s, out of an estimated population of between 8 and 16 million.[50] Slavery continued in Ethiopia until the Italian invasion in October 1935, when the institution was abolished by order of the Italian occupying forces.[51] In response to pressure by Western Allies of World War II, Ethiopia officially abolished slavery and involuntary servitude after having regained its independence in 1942.[52][53] On 26 August 1942, Haile Selassie issued a proclamation outlawing slavery.[54]
|
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In Somali territories, slaves were purchased in the slave market exclusively to do work on plantation grounds.[55] In terms of legal considerations, the customs regarding the treatment of Bantu slaves were established by the decree of Sultans and local administrative legates[disambiguation needed]. Additionally, freedom for these plantation slaves was also often acquired through eventual emancipation, escape, and ransom.[55]
|
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Oral tradition recounts slavery existing in the Kingdom of Kongo from the time of its formation with Lukeni lua Nimi enslaving the Mwene Kabunga whom he conquered to establish the kingdom.[56] Early Portuguese writings show that the Kingdom did have slavery before contact, but that they were primarily war captives from the Kingdom of Ndongo.[56][57]
|
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+
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Slavery was common along the Upper Congo River, and in the second half of the 18th century the region became a major source of slaves for the Atlantic Slave Trade, when high slave prices on the coast made long-distance slave trading profitable. When the Atlantic trade came to an end, the prices of slaves dropped dramatically, and the regional slave trade grew, dominated by Bobangi traders. The Bobangi also purchased a large number of slaves with profits from selling ivory, who they used to populate their villages. A distinction was made between two different types of slaves in this region; slaves who had been sold by their kin group, typically as a result of undesirable behavior such as adultery, were unlikely to attempt to flee. In addition to those considered socially undesirable, the sale of children was also common in times of famine. Slaves who were captured, however, were likely to attempt to escape and had to be moved hundreds of kilometers from their homes as a safeguard against this.[58]
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The slave trade had a profound impact on this region of Central Africa, completely reshaping various aspects of society. For instance, the slave trade helped to create a robust regional trade network for the foodstuffs and crafted goods of small producers along the river. As the transport of only a few slaves in a canoe was sufficient to cover the cost of a trip and still make a profit, traders could fill any unused space on their canoes with other goods and transport them long distances without a significant markup on price. While the large profits from the Congo River slave trade only went to a small number of traders, this aspect of the trade provided some benefit to local producers and consumers.[59]
|
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Various forms of slavery were practiced in diverse ways in different communities of West Africa prior to European trade.[20] Even though slavery did exist, it was not nearly as prevalent within most West African societies that were not Islamic before the Trans-Atlantic Slave Trade.[60][61] The prerequisites for slave societies to exist weren't present in West Africa prior to the Atlantic slave trade considering the small market sizes and the lack of a division of labor.[60] Most West African societies were formed in Kinship units which would make slavery a rather marginal part of the production process within them.[1] Slaves within Kinship-based societies would have had almost the same roles that free members had.[1] Martin Klein has said that before the Atlantic trade, slaves in Western Sudan “made up a small part of the population, lived within the household, worked alongside free members of the household, and participated in a network of face-to-face links.”[60] With the development of the trans-Saharan slave trade and the economies of gold in the western Sahel, a number of the major states became organized around the slave trade, including the Ghana Empire, the Mali Empire, and Songhai Empire.[62] However, other communities in West Africa largely resisted the slave trade. The Jola refused to participate in the slave trade up into the end of the seventeenth century, and didn't use slave labor within their own communities until the nineteenth century. The Kru and Baga also fought against the slave trade.[63] The Mossi Kingdoms tried to take over key sites in the trans-Saharan trade and, when these efforts failed, the Mossi became defenders against slave raiding by the powerful states of the western Sahel. The Mossi would eventually enter the slave trade in the 1800s with the Atlantic slave trade being the main market.[62]
|
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+
Senegal was a catalyst for slave trade, and from the Homann Heirs map figure shown, shows a starting point for migration and a firm port of trade. The culture of the Gold Coast was based largely on the power that individuals held, rather than the land cultivated by a family. Western Africa, and specifically places like Senegal, were able to arrive at the development of slavery through analyzing the aristocratic advantages of slavery and what would best suit the region. This sort of governing that used "political tool" of discerning the different labors and methods of assimilative slavery. The domestic and agricultural labor became more evidently primary in Western Africa due to slaves being regarded as these "political tools" of access and status. Slaves often had more wives than their owners, and this boosted the class of their owners. Slaves were not all used for the same purpose. European colonizing countries were participating in the trade to suit the economic needs of their countries. The parallel of "Moorish" traders found in the desert compared to the Portuguese traders that were not as established pointed out the differences in uses of slaves at this point, and where they were headed in the trade.
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|
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Historian Walter Rodney identified no slavery or significant domestic servitude in early European accounts on the Upper Guinea region[6] and I. A. Akinjogbin contends that European accounts reveal that the slave trade was not a major activity along the coast controlled by the Yoruba people and Aja people before Europeans arrived.[64] In a paper read to the Ethnological Society of London in 1866, the viceroy of Lokoja Mr T. Valentine Robins, who in 1864 accompanied an expedition up the River Niger aboard HMS Investigator, described slavery in the region:
|
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+
|
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+
Upon slavery Mr Robins remarked that it was not what people in England thought it to be. It means, as continually found in this part of Africa, belonging to a family group-there is no compulsory labour, the owner and the slave work together, eat like food, wear like clothing and sleep in the same huts. Some slaves have more wives than their masters. It gives protection to the slaves and everything necessary for their subsistence - food and clothing. A free man is worse off than a slave; he cannot claim his food from anyone.[65]
|
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+
|
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+
With the beginning of the Atlantic slave trade, demand for slavery in West Africa increased and a number of states became centered on the slave trade and domestic slavery increased dramatically.[66] Hugh Clapperton in 1824 believed that half the population of Kano were enslaved people.[67]
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In the Senegambia region, between 1300 and 1900, close to one-third of the population was enslaved. In early Islamic states of the western Sahel, including Ghana (750–1076), Mali (1235–1645), Segou (1712–1861), and Songhai (1275–1591), about a third of the population were enslaved. In Sierra Leone in the 19th century about half of the population consisted of enslaved people. Among the Vai people, during the 19th century, three quarters of people were slaves. In the 19th century at least half the population was enslaved among the Duala of the Cameroon and other peoples of the lower Niger, the Kongo, and the Kasanje kingdom and Chokwe of Angola. Among the Ashanti and Yoruba a third of the population consisted of enslaved people. The population of the Kanem (1600–1800) was about one-third enslaved. It was perhaps 40% in Bornu (1580–1890). Between 1750 and 1900 from one- to two-thirds of the entire population of the Fulani jihad states consisted of enslaved people. The population of the Sokoto caliphate formed by Hausas in the northern Nigeria and Cameroon was half-enslaved in the 19th century. Slavery was widespread among Taureg peoples and lasted until at least 1975. Among the Adrar 15 percent of people were enslaved, and 75 percent of the Gurma were enslaved.[68]
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When British rule was first imposed on the Sokoto Caliphate and the surrounding areas in northern Nigeria at the turn of the 20th century, approximately 2 million to 2.5 million people there were enslaved.[69] Slavery in northern Nigeria was finally outlawed in 1936.[70]
|
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With sea trade from the eastern African Great Lakes region to Persia, China, and India during the first millennium AD, slaves are mentioned as a commodity of secondary importance to gold and ivory. When mentioned, the slave trade appears to be of a small-scale and mostly involves slave raiding of women and children along the islands of Kilwa Kisiwani, Madagascar, and Pemba. In places such as Uganda, the experience for women in slavery was different than that of customary slavery practices at the time. The roles assumed were based off gender and position within the society. First one must make the distinction in Ugandan slavery of peasants and slaves. Researchers Shane Doyle and Henri Médard assert the distinction with the following:
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"Peasants were rewarded for valour in battle by the present of slaves by the lord or chief for whom they had fought. They could be given slaves by relatives who had been promoted to the rank of chiefs, and they could inherit slaves from their fathers. There were the abanyage (those pillaged or stolen in war) as well as the abagule (those bought). All these came under the category of abenvumu or true slaves, that is to say people not free in any sense. In a superior position were the young Ganda given by their maternal uncles into slavery (or pawnship), usually in lieu of debts... Besides such slaves both chiefs and king were served by sons of well to do men who wanted to please them and attract favour for themselves or their children. These were the abasige and formed a big addition to a noble household.... All these different classes of dependents in a household were classed as Medard & Doyle abaddu (male servants) or abazana (female servants) whether they were slave or free-born.(175)"
|
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+
In the Great Lakes region of Africa (around present-day Uganda), linguistic evidence shows the existence of slavery through war capture, trade, and pawning going back hundreds of years; however, these forms, particularly pawning, appear to have increased significantly in the 18th and 19th centuries.[71] These slaves were considered to be more trustworthy than those from the Gold Coast. They were regarded with more prestige because of the training they responded to.
|
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+
|
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The language for slaves in the Great Lakes region varied. This region of water made it easy for capture of slaves and transport. Captive, refugee, slave, peasant were all used in order to describe those in the trade. The distinction was made by where and for what purpose they would be utilized for. Methods like pillage, plunder, and capture were all semantics common in this region to depict the trade.
|
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+
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Historians Campbell and Alpers argue that there were a host of different categories of labor in Southeast Africa and that the distinction between slave and free individuals was not particularly relevant in most societies.[72] However, with increasing international trade in the 18th and 19th century, Southeast Africa began to be involved significantly in the Atlantic slave trade; for example, with the king of Kilwa island signing a treaty with a French merchant in 1776 for the delivery of 1,000 slaves per year.[73]
|
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At about the same time, merchants from Oman, India, and Southeast Africa began establishing plantations along the coasts and on the islands,[74] To provide workers on these plantations, slave raiding and slave holding became increasingly important in the region and slave traders (most notably Tippu Tip) became prominent in the political environment of the region.[73] The Southeast African trade reached its height in the early decades of the 1800s with up to 30,000 slaves sold per year. However, slavery never became a significant part of the domestic economies except in Sultanate of Zanzibar where plantations and agricultural slavery were maintained.[66] Author and historian Timothy Insoll wrote: "Figures record the exporting of 718,000 slaves from the Swahili coast during the 19th century, and the retention of 769,000 on the coast."[75] At various times, between 65 and 90 percent of Zanzibar was enslaved. Along the Kenya coast, 90 percent of the population was enslaved, while half of Madagascar's population was enslaved.[76]
|
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+
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+
Slave relationships in Africa have been transformed through three large-scale processes: the Arab slave trade, the Atlantic slave trade, and the slave emancipation policies and movements in the 19th and 20th centuries. Each of these processes significantly changed the forms, level, and economics of slavery in Africa.[1]
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Slave practices in Africa were used during different periods to justify specific forms of European engagement with the peoples of Africa. Eighteenth century writers in Europe claimed that slavery in Africa was quite brutal in order to justify the Atlantic slave trade. Later writers used similar arguments to justify intervention and eventual colonization by European powers to end slavery in Africa.[77]
|
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Africans knew of the harsh slavery that awaited slaves in the New World. Many elite Africans visited Europe on slave ships following the prevailing winds through the New World. One example of this occurred when Antonio Manuel, Kongo’s ambassador to the Vatican, went to Europe in 1604, stopping first in Bahia, Brazil, where he arranged to free a countryman who had been wrongfully enslaved. African monarchs also sent their children along these same slave routes to be educated in Europe, and thousands of former slaves eventually returned to settle Liberia and Sierra Leone.[19]
|
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+
The enslavement of Africans for eastern markets started before 7th century but remained at low levels until 1750.[78] The trade volume peaked around 1850 but would largely have ended around 1900.[78] Arab slave trade starting in the eighth and ninth centuries AD, began with small-scale movement of people largely from the eastern Great Lakes region and the Sahel. Islamic law allowed slavery, but prohibited slavery involving other pre-existing Muslims; as a result, the main target for slavery were the people who lived in the frontier areas of Islam in Africa.[8] The trade of slaves across the Sahara and across the Indian Ocean also has a long history beginning with the control of sea routes by Afro-Arab traders in the ninth century. It is estimated that, at that time, a few thousand enslaved people were taken each year from the Red Sea and Indian Ocean coast. They were sold throughout the Middle East. This trade accelerated as superior ships led to more trade and greater demand for labour on plantations in the region. Eventually, tens of thousands per year were being taken.[79] On the Swahili Coast, the Afro-Arab slavers captured Bantu peoples from the interior and brought them to the littoral.[80][81] There, the slaves gradually assimilated in the rural areas, particularly on the Unguja and Pemba islands.[80]
|
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+
This changed the slave relationships by creating new forms of employment by slaves (as eunuchs to guard harems, and in military units) and creating conditions for freedom (namely conversion—although it would only free a slave's children).[1][13] Although the level of the trade remained relatively small, the size of total slaves traded grew to a large number over the multiple centuries of its existence.[1] Because of its small and gradual nature, the impact on slavery practices in communities that did not convert to Islam was relatively small.[1] However, in the 1800s, the slave trade from Africa to the Islamic countries picked up significantly. When the European slave trade ended around the 1850s, the slave trade to the east picked up significantly only to be ended with European colonization of Africa around 1900.[66] Between 1500 and 1900, up to 17 million Africans slaves were transported by Muslim traders to the coast of the Indian Ocean, the Middle East, and North Africa.[82]
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+
In 1814, Swiss explorer Johann Burckhardt wrote of his travels in Egypt and Nubia, where he saw the practice of slave trading: "I frequently witnessed scenes of the most shameless indecency, which the traders, who were the principal actors, only laughed at. I may venture to state, that very few female slaves who have passed their tenth year, reach Egypt or Arabia in a state of virginity."[83]
|
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+
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+
David Livingstone while talking about the slave trade in East Africa in his journals:
|
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+
|
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+
To overdraw its evil is a simple impossibility.[84]:442
|
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+
|
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+
Livingstone wrote about a group of slaves forced to march by Arab slave traders in the African Great Lakes region when he was travelling there in 1866:
|
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+
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+
19th June 1866 - We passed a woman tied by the neck to a tree and dead, the people of the country explained that she had bene unable to keep up with the other slaves in a gang, and her master had determined that she should not become anyone's property if she recovered.[84]:5626th June 1866 - ... We passed a slave woman shot or stabbed through the body and lying on the path: a group of mon stood about a hundred yards off on one side, and another of the women on the other side, looking on; they said an Arab who passed early that morning had done it in anger at losing the price he had given for her, because she was unable to walk any longer.
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+
27th June 1866 - To-day we came upon a man dead from starvation, as he was very thin. One of our men wandered and found many slaves with slave-sticks on, abandoned by their masters from want of food; they were too weak to be able to speak or say where they had come from; some were quite young.[84]:62
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+
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Zanzibar was once East Africa's main slave-trading port, and under Omani Arabs in the 19th century as many as 50,000 slaves were passing through the city each year.[85]
|
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+
|
132 |
+
The Atlantic slave trade or transatlantic slave trade took place across the Atlantic Ocean from the 15th through to the 19th centuries. According to Patrick Manning, the Atlantic slave trade was significant in transforming Africans from a minority of the global population of slaves in 1600 into the overwhelming majority by 1800 and by 1850 the number of African slaves within Africa exceeded those in the Americas.[86]
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The slave trade was transformed from a marginal aspect of the economies into the largest sector in a relatively short span. In addition, agricultural plantations increased significantly and became a key aspect in many societies.[1] Economic urban centers that served as the root of main trade routes shifted towards the West coast.[87] At the same time, many African communities relocated far away from slave trade routes, often protecting themselves from the Atlantic slave trade but hindering economic and technological development at the same time.[88]
|
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+
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+
In many African societies traditional lineage slavery became more like chattel slavery due to an increased work demand.[89] This resulted in a general decrease in quality of life, working conditions, and status of slaves in West African societies. Assimilative slavery was increasingly replaced with chattel slavery. Assimilitave slavery in Africa often allowed eventual freedom and also significant cultural, social, and/or economic influence. Slaves were often treated as part of their owner's family, rather than simply property.[89]
|
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+
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+
The distribution of gender among enslaved peoples under traditional lineage slavery saw women as more desirable slaves due to demands for domestic labor and for reproductive reasons.[89] Male slaves were used for more physical agricultural labor,[90] but as more enslaved men were taken to the West Coast and across the Atlantic to the New World, female slaves were increasingly used for physical and agricultural labour and polygyny also increased. Chattel slavery in America was highly demanding because of the physical nature of plantation work and this was the most common destination for male slaves in the New World.[89]
|
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+
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+
It has been argued that a decrease in able-bodied people as a result of the Atlantic slave trade limited many societies ability to cultivate land and develop. Many scholars argue that the transatlantic slave trade, left Africa underdeveloped, demographically unbalanced, and vulnerable to future European colonization.[88]
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The first Europeans to arrive on the coast of Guinea were the Portuguese; the first European to actually buy enslaved Africans in the region of Guinea was Antão Gonçalves, a Portuguese explorer in 1441 AD. Originally interested in trading mainly for gold and spices, they set up colonies on the uninhabited islands of São Tomé. In the 16th century the Portuguese settlers found that these volcanic islands were ideal for growing sugar. Sugar growing is a labour-intensive undertaking and Portuguese settlers were difficult to attract due to the heat, lack of infrastructure, and hard life. To cultivate the sugar the Portuguese turned to large numbers of enslaved Africans. Elmina Castle on the Gold Coast, originally built by African labour for the Portuguese in 1482 to control the gold trade, became an important depot for slaves that were to be transported to the New World.[91]
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The Spanish were the first Europeans to use enslaved Africans in America on islands such as Cuba and Hispaniola,[92] where the alarming death rate in the native population had spurred the first royal laws protecting the native population (Laws of Burgos, 1512–13). The first enslaved Africans arrived in Hispaniola in 1501 soon after the Papal Bull of 1493 gave almost all of the New World to Spain.[93]
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In Igboland, for example, the Aro oracle (the Igbo religious authority) began condemning more people to slavery due to small infractions that previously probably wouldn't have been punishable by slavery, thus increasing the number of enslaved men available for purchase.[89]
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The Atlantic slave trade peaked in the late 18th century, when the largest number of people were bought or captured from West Africa and taken to the Americas.[94] The increase of demand for slaves due to the expansion of European colonial powers to the New World made the slave trade much more lucrative to the West African powers, leading to the establishment of a number of actual West African empires thriving on slave trade.
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These included the Oyo empire (Yoruba), Kong Empire, Imamate of Futa Jallon, Imamate of Futa Toro, Kingdom of Koya, Kingdom of Khasso, Kingdom of Kaabu, Fante Confederacy, Ashanti Confederacy, and the kingdom of Dahomey. These kingdoms relied on a militaristic culture of constant warfare to generate the great numbers of human captives required for trade with the Europeans.[95] It is documented in the Slave Trade Debates of England in the early 19th century: "All the old writers concur in stating not only that wars are entered into for the sole purpose of making slaves, but that they are fomented by Europeans, with a view to that object."[96] The gradual abolition of slavery in European colonial empires during the 19th century again led to the decline and collapse of these African empires. When European powers began to stop the Atlantic slave trade, this caused a further change in that large holders of slaves in Africa began to exploit enslaved people on plantations and other agricultural products.[97]
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The final major transformation of slave relationships came with the inconsistent emancipation efforts starting in the mid-19th century. As European authorities began to take over large parts of inland Africa starting in the 1870s, the colonial policies were often confusing on the issue. For example, even when slavery was deemed illegal, colonial authorities would return escaped slaves to their masters.[1] Slavery persisted in some countries under colonial rule, and in some instances it was not until independence that slavery practices were significantly transformed.[98] Anti-colonial struggles in Africa often brought slaves and former slaves together with masters and former masters to fight for independence; however, this cooperation was short-lived and following independence political parties would often form based upon the stratifications of slaves and masters.[66]
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In some parts of Africa, slavery and slavery-like practices continue to this day, particularly the illegal trafficking of women and children.[99] The problem has proven to be difficult for governments and civil society to eliminate.[100]
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Efforts by Europeans against slavery and the slave trade began in the late 18th century and had a large impact on slavery in Africa. Portugal was the first country in the continent to abolish slavery in metropolitan Portugal and Portuguese India by a bill issued on 12 February 1761, but this did not affect their colonies of Brazil and Portuguese Africa. France abolished slavery in 1794. However, slavery was again allowed by Napoleon in 1802 and not abolished for good until 1848. In 1803, Denmark-Norway became the first country from Europe to implement a ban on the slave trade. Slavery itself was not banned until 1848.[101] Britain followed in 1807 with the passage of the Abolition of the Slave Trade Act by Parliament. This law allowed stiff fines, increasing with the number of slaves transported, for captains of slave ships. Britain followed this with the Slavery Abolition Act 1833 which freed all slaves in the British Empire. British pressure on other countries resulted in them agreeing to end the slave trade from Africa. For example, the 1820 U.S. Law on Slave Trade made slave trading piracy, punishable by death.[102] In addition, the Ottoman Empire abolished slave trade from Africa in 1847 under British pressure.[103]
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By 1850, the year that the last major Atlantic slave trade participant (Brazil) passed the Eusébio de Queirós Law banning the slave trade,[104] the slave trades had been significantly slowed and in general only illegal trade went on. Brazil continued the practice of slavery and was a major source for illegal trade until about 1870 and the abolition of slavery became permanent in 1888 when Princess Isabel of Brazil and Minister Rodrigo Silva (son-in-law of senator Eusebio de Queiroz) banned the practice.[66] The British took an active approach to stopping the illegal Atlantic slave trade during this period. The West Africa Squadron was credited with capturing 1,600 slave ships between 1808 and 1860, and freeing 150,000 Africans who were aboard these ships.[105] 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.
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According to Patrick Manning, internal slavery was most important to Africa in the second half of the 19th century, stating "if there is any time when one can speak of African societies being organized around a slave mode production, [1850–1900] was it". The abolition of the Atlantic slave trade resulted in the economies of African states dependent on the trade being reorganized towards domestic plantation slavery and legitimate commerce worked by slave labor. Slavery before this period was generally domestic.[66][3]
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The continuing anti-slavery movement in Europe became an excuse and a casus belli for the European conquest and colonization of much of the African continent.[77] It was the central theme of the Brussels Anti-Slavery Conference 1889-90. In the late 19th century, the Scramble for Africa saw the continent rapidly divided between imperialistic European powers, and an early but secondary focus of all colonial regimes was the suppression of slavery and the slave trade. Seymour Drescher argues that European interests in abolition were primarily motivated by economic and imperial goals.[106] Despite slavery often being a justification behind conquest, colonial regimes often ignored slavery or allowed slavery practices to continue. This was because the colonial state depended on the cooperation of indigenous political and economic structures which were heavily involved in slavery. As a result, early colonial policies usually sought to end slave trading while regulating existing slave practices and weakening the power of slave maaters.[61] Furthermore the early colonial states had weak effective control over their territories, which precluded efforts to widespread abolition. Abolition attempts became more concrete later during the colonial period.[61]
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There were many causes for the decline and abolition of slavery in Africa during the colonial period including colonial abolition policies, various economic changes, and slave resistance. The economic changes during the colonial period, including the rise of wage labor and cash crops, hastened the decline of slavery by offering new economic opportunities to slaves. The abolition of slave raiding and the end of wars between African states drastically reduced the supply of slaves. Slaves would take advantage of early colonial laws that nominally abolished slavery and would migrate away from their masters although these laws often were intended to regulate slavery more than actually abolish it. This migration led to more concrete abolition efforts by colonial governments.[61][107][1][61]
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Following conquest and abolition by the French, over a million slaves in French West Africa fled from their masters to earlier homes between 1906 and 1911.[108] In Madagascar over 500,000 slaves were freed following French abolition in 1896.[109] In response to this pressure, Ethiopia officially abolished slavery in 1932, Sokoto Caliphate abolished slavery in 1900, and the rest of the Sahel in 1911. Colonial nations were mostly successful in this aim, though slavery is still very active in Africa even though it has gradually moved to a wage economy. Independent nations attempting to westernize or impress Europe sometimes cultivated an image of slavery suppression, even as they, in the case of Egypt, hired European soldiers like Samuel White Baker's expedition up the Nile. Slavery has never been eradicated in Africa, and it commonly appears in African states, such as Chad, Ethiopia, Mali, Niger, and Sudan, in places where law and order have collapsed.[110]
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Although outlawed in all countries today, slavery is practiced in secret in many parts of the world.[111] There are an estimated 30 million victims of slavery worldwide.[112] In Mauritania alone, up to 600,000 men, women and children, or 20% of the population, are enslaved, many of them used as bonded labour.[113][114] Slavery in Mauritania was finally criminalized in August 2007.[115] During the Second Sudanese Civil War people were taken into slavery; estimates of abductions range from 14,000 to 200,000.[116] In Niger, where the practice of slavery was outlawed in 2003, a study found that almost 8% of the population are still slaves.[117][118]
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Slavery and the slave trades had a significant impact on the size of the population and the gender distribution throughout much of Africa. The precise impact of these demographic shifts has been an issue of significant debate.[119] The Atlantic slave trade took 70,000 people, primarily from the west coast of Africa, per year at its peak in the mid-1700s.[66] The Arab slave trade involved the capture of peoples from the continental interior, who were then shipped overseas through ports on the Red Sea and elsewhere.[120] It peaked at 10,000 people bartered per year in the 1600s.[66] According to Patrick Manning, there was a consistent population decrease in large parts of Sub-Saharan Africa as a result of these slave trades. This population decline throughout West Africa from 1650 until 1850 was exacerbated by the preference of slave traders for male slaves. It is important to note that this preference only existed in the transatlantic slave trade. More female slaves than male were traded across the continent of Africa.[46][66] In eastern Africa, the slave trade was multi-directional and changed over time. To meet the demand for menial labor, Zanj slaves captured from the southern interior were sold through ports on the northern seaboard in cumulatively large numbers over the centuries to customers in the Nile Valley, Horn of Africa, Arabian Peninsula, Persian Gulf, India, Far East and the Indian Ocean islands.[120]
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The extent of slavery within Africa and the trade in slaves to other regions is not known precisely. Although the Atlantic slave trade has been best studied, estimates range from 8 million people to 20 million.[121] The Trans-Atlantic Slave Trade Database estimates that the Atlantic slave trade took around 12.8 million people between 1450 and 1900.[1][122] The slave trade across the Sahara and Red Sea from the Sahara, the Horn of Africa, and East Africa, has been estimated at 6.2 million people between 600 and 1600.[1] Although the rate decreased from East Africa in the 1700s, it increased in the 1800s and is estimated at 1.65 million for that century.[1]
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Estimates by Patrick Manning are that about 12 million slaves entered the Atlantic trade between the 16th and 19th century, but about 1.5 million died on board ship.[123] About 10.5 million slaves arrived in the Americas.[123] Besides the slaves who died on the Middle Passage, more Africans likely died during the slave raids in Africa and forced marches to ports. Manning estimates that 4 million died inside Africa after capture, and many more died young.[123] Manning's estimate covers the 12 million who were originally destined for the Atlantic, as well as the 6 million destined for Asian slave markets and the 8 million destined for African markets.[123]
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The demographic effects of the slave trade are some of the most controversial and debated issues. Walter Rodney argued that the export of so many people had been a demographic disaster and had left Africa permanently disadvantaged when compared to other parts of the world, and that this largely explains that continent's continued poverty.[124] He presents numbers that show that Africa's population stagnated during this period, while that of Europe and Asia grew dramatically. According to Rodney all other areas of the economy were disrupted by the slave trade as the top merchants abandoned traditional industries to pursue slaving and the lower levels of the population were disrupted by the slaving itself.
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Others have challenged this view. J. D. Fage compared the number effect on the continent as a whole. David Eltis has compared the numbers to the rate of emigration from Europe during this period. In the 19th century alone over 50 million people left Europe for the Americas, a far higher rate than were ever taken from Africa.[125]
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Others in turn challenged that view. Joseph E. Inikori argues the history of the region shows that the effects were still quite deleterious. He argues that the African economic model of the period was very different from the European, and could not sustain such population losses. Population reductions in certain areas also led to widespread problems. Inikori also notes that after the suppression of the slave trade Africa's population almost immediately began to rapidly increase, even prior to the introduction of modern medicines.[126]
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There is a longstanding debate among analysts and scholars about the destructive impacts of the slave trades.[20] It is often claimed that the slave trade undermined local economies and political stability as villages' vital labour forces were shipped overseas as slave raids and civil wars became commonplace. With the rise of a large commercial slave trade, driven by European needs, enslaving your enemy became less a consequence of war, and more and more a reason to go to war.[127] The slave trade was claimed to have impeded the formation of larger ethnic groups, causing ethnic factionalism and weakening the formation for stable political structures in many places. It also is claimed to have reduced the mental health and social development of African people.[128]
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In contrast to these arguments, J. D. Fage asserts that slavery did not have a wholly disastrous effect on the societies of Africa.[129] Slaves were an expensive commodity, and traders received a great deal in exchange for each enslaved person. At the peak of the slave trade hundreds of thousands of muskets, vast quantities of cloth, gunpowder, and metals were being shipped to Guinea. Most of this money was spent on British-made firearms (of very poor quality) and industrial-grade alcohol. Trade with Europe at the peak of the slave trade—which also included significant exports of gold and ivory—was some 3.5 million pounds Sterling per year. By contrast, the trade of the United Kingdom, the economic superpower of the time, was about 14 million pounds per year over this same period of the late 18th century. As Patrick Manning has pointed out, the vast majority of items traded for slaves were common rather than luxury goods. Textiles, iron ore, currency, and salt were some of the most important commodities imported as a result of the slave trade, and these goods were spread within the entire society raising the general standard of living.[20]
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Although debated, it is argued that the Atlantic slave trade devastated the African economy. In 19th century Yoruba Land, economic activity was described to be at its lowest ever while life and property were being taken daily, and normal living was in jeopardy because of the fear of being kidnapped.[130] (Onwumah, Imhonopi, Adetunde,2019)
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Karl Marx in his economic history of capitalism, [Das Kapital], claimed that "...the turning of Africa into a warren for the commercial hunting of black-skins [that is, the slave trade], signalled the rosy dawn of the era of capitalist production." He argued that the slave trade was part of what he termed the "primitive accumulation" of European capital, the non-capitalist accumulation of wealth that preceded and created the financial conditions for Britain's industrialisation and the advent of the capitalist mode of production.[131]
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Eric Williams has written about the contribution of Africans on the basis of profits from the slave trade and slavery, arguing that the employment of those profits were used to help finance Britain’s industrialisation. He argues that the enslavement of Africans was an essential element to the Industrial Revolution, and that European wealth was, in part, a result of slavery, but that by the time of its abolition it had lost its profitability and it was in Britain's economic interest to ban it.[132] Joseph Inikori has written that the British slave trade was more profitable than the critics of Williams believe. Other researchers and historians have strongly contested what has come to be referred to as the "Williams thesis" in academia: David Richardson has concluded that the profits from the slave trade amounted to less than 1% of domestic investment in Britain,[133] and economic historian Stanley Engerman finds that even without subtracting the associated costs of the slave trade (e.g., shipping costs, slave mortality, mortality of whites in Africa, defense costs) or reinvestment of profits back into the slave trade, the total profits from the slave trade and of West Indian plantations amounted to less than 5% of the British economy during any year of the Industrial Revolution.[134] Historian Richard Pares, in an article written before Williams’ book, dismisses the influence of wealth generated from the West Indian plantations upon the financing of the Industrial Revolution, stating that whatever substantial flow of investment from West Indian profits into industry there was occurred after emancipation, not before.[135] Findlay and O'Rourke noted that the figures presented by O'Brien (1982) to back his claim that "the periphery was peripheral" suggest the opposite, with profits from the periphery 1784–1786 being £5.66 million when there was £10.30 million total gross investment in the British economy and similar proportions for 1824–1826. They note that dismissing the profits of the enslavement of human beings from significance because it was a "small share of national income", could be used to argue that there was no industrial revolution, since modern industry provided only a small share of national income and that it is a mistake to assume that small size is the same as small significance. Findlay and O'Rourke also note that the share of American export commodities produced by enslaved human beings, rose from 54% between 1501 and 1550 to 82.5% between 1761–1780.[136]
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Seymour Drescher and Robert Anstey argue the slave trade remained profitable until the end, because of innovations in agriculture, and that moralistic reform, not economic incentive, was primarily responsible for abolition.[137]
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A similar debate has taken place about other European nations. The French slave trade, it is argued, was more profitable than alternative domestic investments, and probably encouraged capital accumulation before the Industrial Revolution and Napoleonic Wars.[138]
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Maulana Karenga states the effects of the Atlantic slave trade in African captives: "[T]he morally monstrous destruction of human possibility involved redefining African humanity to the world, poisoning past, present and future relations with others who only know us through this stereotyping and thus damaging the truly human relations among people of today". He says that it constituted the destruction of culture, language, religion and human possibility.[139]
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Slavery has historically been widespread in Africa, and still continues today in some African countries.
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Systems of servitude and slavery were common in parts of Africa in ancient times, as they were in much of the rest of the ancient world. When the Arab slave trade (which started in the 7th century) and Atlantic slave trade (which started in the 16th century) began, many of the pre-existing local African slave systems began supplying captives for slave markets outside Africa.[1]
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Slavery in historical Africa was practiced in many different forms: Debt slavery, enslavement of war captives, military slavery, slavery for prostitution, and criminal slavery were all practiced in various parts of Africa.[2] Slavery for domestic and court purposes was widespread throughout Africa. Plantation slavery also occurred, primarily on the eastern coast of Africa and in parts of West Africa. The importance of domestic plantation slavery increased during the 19th century, due to the abolition of the Atlantic slave trade. Many African states dependent on the international slave trade reoriented their economies towards legitimate commerce worked by slave labor.[3]
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Multiple forms of slavery and servitude have existed throughout African history, and were shaped by indigenous practices of slavery as well as the Roman institution of slavery[citation needed] (and the later Christian views on slavery), the Islamic institutions of slavery via the Arab slave trade, and eventually the Atlantic slave trade.[1]
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Slavery was a part of the economic structure of African societies for many centuries, although the extent varied.[1]
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Ibn Battuta, who visited the ancient kingdom of Mali in the mid-14th century, recounts that the local inhabitants vied with each other in the number of slaves and servants they had, and was himself given a slave boy as a "hospitality gift."[4] In sub-Saharan Africa, the slave relationships were often complex, with rights and freedoms given to individuals held in slavery and restrictions on sale and treatment by their masters.[5] Many communities had hierarchies between different types of slaves: for example, differentiating between those who had been born into slavery and those who had been captured through war.[6]
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Travels in the Interior of Africa, Mungo Park, Travels in the Interior of Africa v. II, Chapter XXII – War and Slavery.
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The forms of slavery in Africa were closely related to kinship structures. In many African communities, where land could not be owned, enslavement of individuals was used as a means to increase the influence a person had and expand connections.[7] This made slaves a permanent part of a master's lineage, and the children of slaves could become closely connected with the larger family ties.[1] Children of slaves born into families could be integrated into the master's kinship group and rise to prominent positions within society, even to the level of chief in some instances.[6] However, stigma often remained attached, and there could be strict separations between slave members of a kinship group and those related to the master.[7]
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Chattel slavery is a specific servitude relationship where the slave is treated as the property of the owner. As such, the owner is free to sell, trade, or treat the slave as he would other pieces of property, and the children of the slave often are retained as the property of the master.[8] There is evidence of long histories of chattel slavery in the Nile River valley and North Africa, but evidence is incomplete about the extent and practices of chattel slavery throughout much of the rest of the continent prior to written records by Arab or European traders.[8][9]
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Many slave relationships in Africa revolved around domestic slavery, where slaves would work primarily in the house of the master, but retain some freedoms. Domestic slaves could be considered part of the master's household and would not be sold to others without extreme cause. The slaves could own the profits from their labour (whether in land or in products), and could marry and pass the land on to their children in many cases.[6][10]
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Pawnship, or debt bondage slavery, involves the use of people as collateral to secure the repayment of debt. Slave labor is performed by the debtor, or a relative of the debtor (usually a child). Pawnship was a common form of collateral in West Africa. It involved the pledge of a person or a member of that person's family, to serve another person providing credit. Pawnship was related to, yet distinct from, slavery in most conceptualizations, because the arrangement could include limited, specific terms of service to be provided, and because kinship ties would protect the person from being sold into slavery. Pawnship was a common practice throughout West Africa prior to European contact, including among the Akan people, the Ewe people, the Ga people, the Yoruba people, and the Edo people (in modified forms, it also existed among the Efik people, the Igbo people, the Ijaw people, and the Fon people).[11][12]
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Military slavery involved the acquisition and training of conscripted military units which would retain the identity of military slaves even after their service.[13] Slave soldier groups would be run by a Patron, who could be the head of a government or an independent warlord, and who would send his troops out for money and his own political interests.[13]
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This was most significant in the Nile valley (primarily in Sudan and Uganda), with slave military units organized by various Islamic authorities,[13] and with the war chiefs of Western Africa.[14] The military units in Sudan were formed in the 1800s through large-scale military raiding in the area which is currently the countries of Sudan and South Sudan.[13]
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Moreover, a considerable number of the men born between 1800 and 1849 in West African regions (today Ghana and Burkina Faso) and abducted as slaves to serve in the army in Dutch Indonesia. Interestingly, soldiers were on average 3 cm taller than other West African population. Furthermore, data showed, West Africans were shorter than North Europeans but of almost equal height to South Europeans. This was mainly related to the quality of the nutrition and healthcare.[15]
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Human sacrifice was common in West African states up to and during the 19th century. Although archaeological evidence is not clear on the issue prior to European contact, in those societies that practiced human sacrifice, slaves became the most prominent victims.[1]
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The Annual Customs of Dahomey were the most notorious example of the human sacrifice of slaves, where 500 prisoners would be sacrificed. Sacrifices were carried out all along the West African coast and further inland. Sacrifices were common in the Benin Empire, in what is now Ghana, and in the small independent states in what is now southern Nigeria. In the Ashanti Region, human sacrifice was often combined with capital punishment.[16][17][18]
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Many nations such as the Ashanti of present-day Ghana and the Yoruba of present-day Nigeria were involved in slave-trading. Groups such as the Imbangala of Angola and the Nyamwezi of Tanzania would serve as intermediaries or roving bands, waging war on African states to capture people for export as slaves. Historians John Thornton and Linda Heywood of Boston University have estimated that of the Africans captured and then sold as slaves to the New World in the Atlantic slave trade, around 90% were enslaved by fellow Africans who sold them to European traders.[19] Henry Louis Gates, the Harvard Chair of African and African American Studies, has stated that "without complex business partnerships between African elites and European traders and commercial agents, the slave trade to the New World would have been impossible, at least on the scale it occurred."[19]
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The entire Bubi ethnic group descends from escaped intertribal slaves owned by various ancient West-central African ethnic groups.[citation needed]
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Like most other regions of the world, slavery and forced labor existed in many kingdoms and societies of Africa for hundreds of years.[20][5] According to Ugo Kwokeji, early European reports of slavery throughout Africa in the 1600s are unreliable because they often conflated various forms of servitude as equal to chattel slavery.[21]
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The best evidence of slave practices in Africa come from the major kingdoms, particularly along the coast, and there is little evidence of widespread slavery practices in stateless societies.[1][5][6] Slave trading was mostly secondary to other trade relationships; however, there is evidence of a trans-Saharan slave trade route from Roman times which persisted in the area after the fall of the Roman Empire.[8] However, kinship structures and rights provided to slaves (except those captured in war) appears to have limited the scope of slave trading before the start of the Arab slave trade and the Atlantic slave trade.[5]
|
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+
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Slavery in northern Africa dates back to ancient Egypt. The New Kingdom (1558–1080 BC) brought in large numbers of slaves as prisoners of war up the Nile valley and used then for domestic and supervised labor.[23] Ptolemaic Egypt (305 BC–30 BC) used both land and sea routes to bring slaves in.[24]
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Chattel slavery had been legal and widespread throughout North Africa when the region was controlled by the Roman Empire (145 BC – ca. 430 AD), and by the Eastern Romans from 533 to 695). A slave trade bringing Saharans through the desert to North Africa, which existed in Roman times, continued and documentary evidence in the Nile Valley shows it to have been regulated there by treaty.[8] As the Roman republic expanded, it enslaved defeated enemies and Roman conquests in Africa were no exception. For example, Orosius records that Rome enslaved 27,000 people from North Africa in 256 BC.[25] Piracy became an important source of slaves for the Roman Empire and in the 5th century AD pirates would raid coastal North African villages and enslave the captured.[26] Chattel slavery persisted after the fall of the Roman Empire in the largely Christian communities of the region. After the Islamic expansion into most of the region because of the trade expansion across the Sahara,[27] the practices continued and eventually, the assimilative form of slavery spread to major societies on the southern end of the Sahara (such as Mali, Songhai, and Ghana).[1]
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The medieval slave trade in Europe was mainly to the East and South: the Christian Byzantine Empire and the Muslim World were the destinations, Central and Eastern Europe an important source of slaves.[28] Slavery in medieval Europe was so widespread that the Roman Catholic Church repeatedly prohibited it—or at least the export of Christian slaves to non-Christian lands was prohibited at, for example, the Council of Koblenz in 922, the Council of London in 1102, and the Council of Armagh in 1171. Because of religious constraints, the slave trade was carried out in parts of Europe by Iberian Jews (known as Radhanites) who were able to transfer slaves from pagan Central Europe through Christian Western Europe to Muslim countries in Al-Andalus and Africa.[29]
|
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+
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The Mamluks were slave soldiers who converted to Islam and served the Muslim caliphs and the Ayyubid Sultans during the Middle Ages. The first Mamluks served the Abbasid caliphs in 9th century Baghdad. Over time, they became a powerful military caste, and on more than one occasion they seized power for themselves, for example, ruling Egypt from 1250–1517. From 1250 Egypt had been ruled by the Bahri dynasty of Kipchak Turk origin. White enslaved people from the Caucasus served in the army and formed an elite corps of troops, eventually revolting in Egypt to form the Burgi dynasty.[30]
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+
According to Robert Davis between 1 million and 1.25 million Europeans were captured by Barbary pirates and sold as slaves to North Africa and the Ottoman Empire between the 16th and 19th centuries.[31][32] However, to extrapolate his numbers, Davis assumes the number of European slaves captured by Barbary pirates were constant for a 250-year period, stating:
|
48 |
+
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+
"There are no records of how many men, women and children were enslaved, but it is possible to calculate roughly the number of fresh captives that would have been needed to keep populations steady and replace those slaves who died, escaped, were ransomed, or converted to Islam. On this basis, it is thought that around 8,500 new slaves were needed annually to replenish numbers - about 850,000 captives over the century from 1580 to 1680. By extension, for the 250 years between 1530 and 1780, the figure could easily have been as high as 1,250,000."[33]
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+
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Davis' numbers have been disputed by other historians, such as David Earle, who cautions that the true picture of European slaves is clouded by the fact the corsairs also seized non-Christian whites from eastern Europe and black people from west Africa.[33]
|
52 |
+
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53 |
+
In addition, the number of slaves traded was hyperactive, with exaggerated estimates relying on peak years to calculate averages for entire centuries, or millennia. Hence, there were wide fluctuations year-to-year, particularly in the 18th and 19th centuries, given slave imports, and also given the fact that, prior to the 1840s, there are no consistent records. Middle East expert John Wright cautions that modern estimates are based on back-calculations from human observation.[34]
|
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+
|
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+
Such observations, across the late 1500s and early 1600s observers, estimate that around 35,000 European Christian slaves held throughout this period on the Barbary Coast, across Tripoli, Tunis, but mostly in Algiers. The majority were sailors (particularly those who were English), taken with their ships, but others were fishermen and coastal villagers. However, most of these captives were people from lands close to Africa, particularly Spain and Italy.[35]
|
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The coastal villages and towns of Italy, Portugal, Spain, and Mediterranean islands were frequently attacked by the pirates, and long stretches of the Italian and Spanish coasts were almost completely abandoned by their inhabitants; after 1600 Barbary pirates occasionally entered the Atlantic and struck as far north as Iceland. The most famous corsairs were the Ottoman Barbarossa ("Redbeard"), and his older brother Oruç, Turgut Reis (known as Dragut in the West), Kurtoğlu (known as Curtogoli in the West), Kemal Reis, Salih Reis, and Koca Murat Reis.[32][36]
|
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+
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In 1544, Hayreddin Barbarossa captured Ischia, taking 4,000 prisoners in the process, and deported to slavery some 9,000 inhabitants of Lipari, almost the entire population.[37] In 1551, Dragut enslaved the entire population of the Maltese island Gozo, between 5,000 and 6,000, sending them to Libya. When pirates sacked Vieste in southern Italy in 1554 they took an estimated 7,000 slaves. In 1555, Turgut Reis sailed to Corsica and ransacked Bastia, taking 6,000 prisoners. In 1558 Barbary corsairs captured the town of Ciutadella, destroyed it, slaughtered the inhabitants, and carried off 3,000 survivors to Istanbul as slaves.[38] In 1563 Turgut Reis landed at the shores of the province of Granada, Spain, and captured the coastal settlements in the area like Almuñécar, along with 4,000 prisoners. Barbary pirates frequently attacked the Balearic islands, resulting in many coastal watchtowers and fortified churches being erected. The threat was so severe that Formentera became uninhabited.[39][40]
|
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|
61 |
+
Early modern sources are full of descriptions of the sufferings of Christian galley slaves of the Barbary corsairs:
|
62 |
+
|
63 |
+
Those who have not seen a galley at sea, especially in chasing or being chased, cannot well conceive the shock such a spectacle must give to a heart capable of the least tincture of commiseration. To behold ranks and files of half-naked, half-starved, half-tanned meagre wretches, chained to a plank, from whence they remove not for months together (commonly half a year), urged on, even beyond human strength, with cruel and repeated blows on their bare flesh...[41]
|
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|
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As late as 1798, the islet near Sardinia was attacked by the Tunisians and over 900 inhabitants were taken away as slaves.
|
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+
|
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+
Sahrawi-Moorish society in Northwest Africa was traditionally (and still is, to some extent) stratified into several tribal castes, with the Hassane warrior tribes ruling and extracting tribute – horma – from the subservient Berber-descended znaga tribes. Below them ranked servile groups known as Haratin, a black population.[42]
|
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Enslaved Sub-Saharan Africans were also transported across North Africa into Arabia to do agricultural work because of their resistance to malaria that plagued the Arabia and North Africa at the time of early enslavement. Sub-Saharan Africans were able to endure the malaria-infested lands they were transported to, which is why North Africans were not transported despite their close proximity to Arabia and its surrounding lands.[43]
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|
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In the Horn of Africa, the Christian kings of the Ethiopian Empire often exported pagan Nilotic slaves from their western borderlands, or from newly conquered or reconquered lowland territories.[44] The Somali and Afar Muslim sultanates, such as the medieval Adal Sultanate, through their ports also traded Zanj (Bantu) slaves who were captured from the hinterland.[45]
|
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+
|
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Slavery, as practiced in Ethiopia, was essentially domestic and was geared more towards women; this was the trend for most of Africa as well. Women were transported across the Sahara, the Middle East, and the Mediterranean and the Indian Ocean trade more than men.[46] Enslaved people served in the houses of their masters or mistresses, and were not employed to any significant extent for productive purpose. The enslaved were regarded as second-class members of their owners' family.[47] The first attempt to abolish slavery in Ethiopia was made by Emperor Tewodros II (r. 1855–68),[48] although the slave trade was not abolished legally until 1923 with Ethiopia's ascension to the League of Nations.[49] Anti-Slavery Society estimated there were 2 million slaves in the early 1930s, out of an estimated population of between 8 and 16 million.[50] Slavery continued in Ethiopia until the Italian invasion in October 1935, when the institution was abolished by order of the Italian occupying forces.[51] In response to pressure by Western Allies of World War II, Ethiopia officially abolished slavery and involuntary servitude after having regained its independence in 1942.[52][53] On 26 August 1942, Haile Selassie issued a proclamation outlawing slavery.[54]
|
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In Somali territories, slaves were purchased in the slave market exclusively to do work on plantation grounds.[55] In terms of legal considerations, the customs regarding the treatment of Bantu slaves were established by the decree of Sultans and local administrative legates[disambiguation needed]. Additionally, freedom for these plantation slaves was also often acquired through eventual emancipation, escape, and ransom.[55]
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Oral tradition recounts slavery existing in the Kingdom of Kongo from the time of its formation with Lukeni lua Nimi enslaving the Mwene Kabunga whom he conquered to establish the kingdom.[56] Early Portuguese writings show that the Kingdom did have slavery before contact, but that they were primarily war captives from the Kingdom of Ndongo.[56][57]
|
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|
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Slavery was common along the Upper Congo River, and in the second half of the 18th century the region became a major source of slaves for the Atlantic Slave Trade, when high slave prices on the coast made long-distance slave trading profitable. When the Atlantic trade came to an end, the prices of slaves dropped dramatically, and the regional slave trade grew, dominated by Bobangi traders. The Bobangi also purchased a large number of slaves with profits from selling ivory, who they used to populate their villages. A distinction was made between two different types of slaves in this region; slaves who had been sold by their kin group, typically as a result of undesirable behavior such as adultery, were unlikely to attempt to flee. In addition to those considered socially undesirable, the sale of children was also common in times of famine. Slaves who were captured, however, were likely to attempt to escape and had to be moved hundreds of kilometers from their homes as a safeguard against this.[58]
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|
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The slave trade had a profound impact on this region of Central Africa, completely reshaping various aspects of society. For instance, the slave trade helped to create a robust regional trade network for the foodstuffs and crafted goods of small producers along the river. As the transport of only a few slaves in a canoe was sufficient to cover the cost of a trip and still make a profit, traders could fill any unused space on their canoes with other goods and transport them long distances without a significant markup on price. While the large profits from the Congo River slave trade only went to a small number of traders, this aspect of the trade provided some benefit to local producers and consumers.[59]
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Various forms of slavery were practiced in diverse ways in different communities of West Africa prior to European trade.[20] Even though slavery did exist, it was not nearly as prevalent within most West African societies that were not Islamic before the Trans-Atlantic Slave Trade.[60][61] The prerequisites for slave societies to exist weren't present in West Africa prior to the Atlantic slave trade considering the small market sizes and the lack of a division of labor.[60] Most West African societies were formed in Kinship units which would make slavery a rather marginal part of the production process within them.[1] Slaves within Kinship-based societies would have had almost the same roles that free members had.[1] Martin Klein has said that before the Atlantic trade, slaves in Western Sudan “made up a small part of the population, lived within the household, worked alongside free members of the household, and participated in a network of face-to-face links.”[60] With the development of the trans-Saharan slave trade and the economies of gold in the western Sahel, a number of the major states became organized around the slave trade, including the Ghana Empire, the Mali Empire, and Songhai Empire.[62] However, other communities in West Africa largely resisted the slave trade. The Jola refused to participate in the slave trade up into the end of the seventeenth century, and didn't use slave labor within their own communities until the nineteenth century. The Kru and Baga also fought against the slave trade.[63] The Mossi Kingdoms tried to take over key sites in the trans-Saharan trade and, when these efforts failed, the Mossi became defenders against slave raiding by the powerful states of the western Sahel. The Mossi would eventually enter the slave trade in the 1800s with the Atlantic slave trade being the main market.[62]
|
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Senegal was a catalyst for slave trade, and from the Homann Heirs map figure shown, shows a starting point for migration and a firm port of trade. The culture of the Gold Coast was based largely on the power that individuals held, rather than the land cultivated by a family. Western Africa, and specifically places like Senegal, were able to arrive at the development of slavery through analyzing the aristocratic advantages of slavery and what would best suit the region. This sort of governing that used "political tool" of discerning the different labors and methods of assimilative slavery. The domestic and agricultural labor became more evidently primary in Western Africa due to slaves being regarded as these "political tools" of access and status. Slaves often had more wives than their owners, and this boosted the class of their owners. Slaves were not all used for the same purpose. European colonizing countries were participating in the trade to suit the economic needs of their countries. The parallel of "Moorish" traders found in the desert compared to the Portuguese traders that were not as established pointed out the differences in uses of slaves at this point, and where they were headed in the trade.
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|
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Historian Walter Rodney identified no slavery or significant domestic servitude in early European accounts on the Upper Guinea region[6] and I. A. Akinjogbin contends that European accounts reveal that the slave trade was not a major activity along the coast controlled by the Yoruba people and Aja people before Europeans arrived.[64] In a paper read to the Ethnological Society of London in 1866, the viceroy of Lokoja Mr T. Valentine Robins, who in 1864 accompanied an expedition up the River Niger aboard HMS Investigator, described slavery in the region:
|
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+
|
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+
Upon slavery Mr Robins remarked that it was not what people in England thought it to be. It means, as continually found in this part of Africa, belonging to a family group-there is no compulsory labour, the owner and the slave work together, eat like food, wear like clothing and sleep in the same huts. Some slaves have more wives than their masters. It gives protection to the slaves and everything necessary for their subsistence - food and clothing. A free man is worse off than a slave; he cannot claim his food from anyone.[65]
|
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+
|
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+
With the beginning of the Atlantic slave trade, demand for slavery in West Africa increased and a number of states became centered on the slave trade and domestic slavery increased dramatically.[66] Hugh Clapperton in 1824 believed that half the population of Kano were enslaved people.[67]
|
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In the Senegambia region, between 1300 and 1900, close to one-third of the population was enslaved. In early Islamic states of the western Sahel, including Ghana (750–1076), Mali (1235–1645), Segou (1712–1861), and Songhai (1275–1591), about a third of the population were enslaved. In Sierra Leone in the 19th century about half of the population consisted of enslaved people. Among the Vai people, during the 19th century, three quarters of people were slaves. In the 19th century at least half the population was enslaved among the Duala of the Cameroon and other peoples of the lower Niger, the Kongo, and the Kasanje kingdom and Chokwe of Angola. Among the Ashanti and Yoruba a third of the population consisted of enslaved people. The population of the Kanem (1600–1800) was about one-third enslaved. It was perhaps 40% in Bornu (1580–1890). Between 1750 and 1900 from one- to two-thirds of the entire population of the Fulani jihad states consisted of enslaved people. The population of the Sokoto caliphate formed by Hausas in the northern Nigeria and Cameroon was half-enslaved in the 19th century. Slavery was widespread among Taureg peoples and lasted until at least 1975. Among the Adrar 15 percent of people were enslaved, and 75 percent of the Gurma were enslaved.[68]
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When British rule was first imposed on the Sokoto Caliphate and the surrounding areas in northern Nigeria at the turn of the 20th century, approximately 2 million to 2.5 million people there were enslaved.[69] Slavery in northern Nigeria was finally outlawed in 1936.[70]
|
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With sea trade from the eastern African Great Lakes region to Persia, China, and India during the first millennium AD, slaves are mentioned as a commodity of secondary importance to gold and ivory. When mentioned, the slave trade appears to be of a small-scale and mostly involves slave raiding of women and children along the islands of Kilwa Kisiwani, Madagascar, and Pemba. In places such as Uganda, the experience for women in slavery was different than that of customary slavery practices at the time. The roles assumed were based off gender and position within the society. First one must make the distinction in Ugandan slavery of peasants and slaves. Researchers Shane Doyle and Henri Médard assert the distinction with the following:
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"Peasants were rewarded for valour in battle by the present of slaves by the lord or chief for whom they had fought. They could be given slaves by relatives who had been promoted to the rank of chiefs, and they could inherit slaves from their fathers. There were the abanyage (those pillaged or stolen in war) as well as the abagule (those bought). All these came under the category of abenvumu or true slaves, that is to say people not free in any sense. In a superior position were the young Ganda given by their maternal uncles into slavery (or pawnship), usually in lieu of debts... Besides such slaves both chiefs and king were served by sons of well to do men who wanted to please them and attract favour for themselves or their children. These were the abasige and formed a big addition to a noble household.... All these different classes of dependents in a household were classed as Medard & Doyle abaddu (male servants) or abazana (female servants) whether they were slave or free-born.(175)"
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In the Great Lakes region of Africa (around present-day Uganda), linguistic evidence shows the existence of slavery through war capture, trade, and pawning going back hundreds of years; however, these forms, particularly pawning, appear to have increased significantly in the 18th and 19th centuries.[71] These slaves were considered to be more trustworthy than those from the Gold Coast. They were regarded with more prestige because of the training they responded to.
|
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The language for slaves in the Great Lakes region varied. This region of water made it easy for capture of slaves and transport. Captive, refugee, slave, peasant were all used in order to describe those in the trade. The distinction was made by where and for what purpose they would be utilized for. Methods like pillage, plunder, and capture were all semantics common in this region to depict the trade.
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+
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Historians Campbell and Alpers argue that there were a host of different categories of labor in Southeast Africa and that the distinction between slave and free individuals was not particularly relevant in most societies.[72] However, with increasing international trade in the 18th and 19th century, Southeast Africa began to be involved significantly in the Atlantic slave trade; for example, with the king of Kilwa island signing a treaty with a French merchant in 1776 for the delivery of 1,000 slaves per year.[73]
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At about the same time, merchants from Oman, India, and Southeast Africa began establishing plantations along the coasts and on the islands,[74] To provide workers on these plantations, slave raiding and slave holding became increasingly important in the region and slave traders (most notably Tippu Tip) became prominent in the political environment of the region.[73] The Southeast African trade reached its height in the early decades of the 1800s with up to 30,000 slaves sold per year. However, slavery never became a significant part of the domestic economies except in Sultanate of Zanzibar where plantations and agricultural slavery were maintained.[66] Author and historian Timothy Insoll wrote: "Figures record the exporting of 718,000 slaves from the Swahili coast during the 19th century, and the retention of 769,000 on the coast."[75] At various times, between 65 and 90 percent of Zanzibar was enslaved. Along the Kenya coast, 90 percent of the population was enslaved, while half of Madagascar's population was enslaved.[76]
|
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+
Slave relationships in Africa have been transformed through three large-scale processes: the Arab slave trade, the Atlantic slave trade, and the slave emancipation policies and movements in the 19th and 20th centuries. Each of these processes significantly changed the forms, level, and economics of slavery in Africa.[1]
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Slave practices in Africa were used during different periods to justify specific forms of European engagement with the peoples of Africa. Eighteenth century writers in Europe claimed that slavery in Africa was quite brutal in order to justify the Atlantic slave trade. Later writers used similar arguments to justify intervention and eventual colonization by European powers to end slavery in Africa.[77]
|
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Africans knew of the harsh slavery that awaited slaves in the New World. Many elite Africans visited Europe on slave ships following the prevailing winds through the New World. One example of this occurred when Antonio Manuel, Kongo’s ambassador to the Vatican, went to Europe in 1604, stopping first in Bahia, Brazil, where he arranged to free a countryman who had been wrongfully enslaved. African monarchs also sent their children along these same slave routes to be educated in Europe, and thousands of former slaves eventually returned to settle Liberia and Sierra Leone.[19]
|
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+
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+
The enslavement of Africans for eastern markets started before 7th century but remained at low levels until 1750.[78] The trade volume peaked around 1850 but would largely have ended around 1900.[78] Arab slave trade starting in the eighth and ninth centuries AD, began with small-scale movement of people largely from the eastern Great Lakes region and the Sahel. Islamic law allowed slavery, but prohibited slavery involving other pre-existing Muslims; as a result, the main target for slavery were the people who lived in the frontier areas of Islam in Africa.[8] The trade of slaves across the Sahara and across the Indian Ocean also has a long history beginning with the control of sea routes by Afro-Arab traders in the ninth century. It is estimated that, at that time, a few thousand enslaved people were taken each year from the Red Sea and Indian Ocean coast. They were sold throughout the Middle East. This trade accelerated as superior ships led to more trade and greater demand for labour on plantations in the region. Eventually, tens of thousands per year were being taken.[79] On the Swahili Coast, the Afro-Arab slavers captured Bantu peoples from the interior and brought them to the littoral.[80][81] There, the slaves gradually assimilated in the rural areas, particularly on the Unguja and Pemba islands.[80]
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This changed the slave relationships by creating new forms of employment by slaves (as eunuchs to guard harems, and in military units) and creating conditions for freedom (namely conversion—although it would only free a slave's children).[1][13] Although the level of the trade remained relatively small, the size of total slaves traded grew to a large number over the multiple centuries of its existence.[1] Because of its small and gradual nature, the impact on slavery practices in communities that did not convert to Islam was relatively small.[1] However, in the 1800s, the slave trade from Africa to the Islamic countries picked up significantly. When the European slave trade ended around the 1850s, the slave trade to the east picked up significantly only to be ended with European colonization of Africa around 1900.[66] Between 1500 and 1900, up to 17 million Africans slaves were transported by Muslim traders to the coast of the Indian Ocean, the Middle East, and North Africa.[82]
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In 1814, Swiss explorer Johann Burckhardt wrote of his travels in Egypt and Nubia, where he saw the practice of slave trading: "I frequently witnessed scenes of the most shameless indecency, which the traders, who were the principal actors, only laughed at. I may venture to state, that very few female slaves who have passed their tenth year, reach Egypt or Arabia in a state of virginity."[83]
|
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David Livingstone while talking about the slave trade in East Africa in his journals:
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+
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+
To overdraw its evil is a simple impossibility.[84]:442
|
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+
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Livingstone wrote about a group of slaves forced to march by Arab slave traders in the African Great Lakes region when he was travelling there in 1866:
|
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+
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+
19th June 1866 - We passed a woman tied by the neck to a tree and dead, the people of the country explained that she had bene unable to keep up with the other slaves in a gang, and her master had determined that she should not become anyone's property if she recovered.[84]:5626th June 1866 - ... We passed a slave woman shot or stabbed through the body and lying on the path: a group of mon stood about a hundred yards off on one side, and another of the women on the other side, looking on; they said an Arab who passed early that morning had done it in anger at losing the price he had given for her, because she was unable to walk any longer.
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+
27th June 1866 - To-day we came upon a man dead from starvation, as he was very thin. One of our men wandered and found many slaves with slave-sticks on, abandoned by their masters from want of food; they were too weak to be able to speak or say where they had come from; some were quite young.[84]:62
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+
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Zanzibar was once East Africa's main slave-trading port, and under Omani Arabs in the 19th century as many as 50,000 slaves were passing through the city each year.[85]
|
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+
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+
The Atlantic slave trade or transatlantic slave trade took place across the Atlantic Ocean from the 15th through to the 19th centuries. According to Patrick Manning, the Atlantic slave trade was significant in transforming Africans from a minority of the global population of slaves in 1600 into the overwhelming majority by 1800 and by 1850 the number of African slaves within Africa exceeded those in the Americas.[86]
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The slave trade was transformed from a marginal aspect of the economies into the largest sector in a relatively short span. In addition, agricultural plantations increased significantly and became a key aspect in many societies.[1] Economic urban centers that served as the root of main trade routes shifted towards the West coast.[87] At the same time, many African communities relocated far away from slave trade routes, often protecting themselves from the Atlantic slave trade but hindering economic and technological development at the same time.[88]
|
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+
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+
In many African societies traditional lineage slavery became more like chattel slavery due to an increased work demand.[89] This resulted in a general decrease in quality of life, working conditions, and status of slaves in West African societies. Assimilative slavery was increasingly replaced with chattel slavery. Assimilitave slavery in Africa often allowed eventual freedom and also significant cultural, social, and/or economic influence. Slaves were often treated as part of their owner's family, rather than simply property.[89]
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+
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+
The distribution of gender among enslaved peoples under traditional lineage slavery saw women as more desirable slaves due to demands for domestic labor and for reproductive reasons.[89] Male slaves were used for more physical agricultural labor,[90] but as more enslaved men were taken to the West Coast and across the Atlantic to the New World, female slaves were increasingly used for physical and agricultural labour and polygyny also increased. Chattel slavery in America was highly demanding because of the physical nature of plantation work and this was the most common destination for male slaves in the New World.[89]
|
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+
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It has been argued that a decrease in able-bodied people as a result of the Atlantic slave trade limited many societies ability to cultivate land and develop. Many scholars argue that the transatlantic slave trade, left Africa underdeveloped, demographically unbalanced, and vulnerable to future European colonization.[88]
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The first Europeans to arrive on the coast of Guinea were the Portuguese; the first European to actually buy enslaved Africans in the region of Guinea was Antão Gonçalves, a Portuguese explorer in 1441 AD. Originally interested in trading mainly for gold and spices, they set up colonies on the uninhabited islands of São Tomé. In the 16th century the Portuguese settlers found that these volcanic islands were ideal for growing sugar. Sugar growing is a labour-intensive undertaking and Portuguese settlers were difficult to attract due to the heat, lack of infrastructure, and hard life. To cultivate the sugar the Portuguese turned to large numbers of enslaved Africans. Elmina Castle on the Gold Coast, originally built by African labour for the Portuguese in 1482 to control the gold trade, became an important depot for slaves that were to be transported to the New World.[91]
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+
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The Spanish were the first Europeans to use enslaved Africans in America on islands such as Cuba and Hispaniola,[92] where the alarming death rate in the native population had spurred the first royal laws protecting the native population (Laws of Burgos, 1512–13). The first enslaved Africans arrived in Hispaniola in 1501 soon after the Papal Bull of 1493 gave almost all of the New World to Spain.[93]
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+
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+
In Igboland, for example, the Aro oracle (the Igbo religious authority) began condemning more people to slavery due to small infractions that previously probably wouldn't have been punishable by slavery, thus increasing the number of enslaved men available for purchase.[89]
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+
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+
The Atlantic slave trade peaked in the late 18th century, when the largest number of people were bought or captured from West Africa and taken to the Americas.[94] The increase of demand for slaves due to the expansion of European colonial powers to the New World made the slave trade much more lucrative to the West African powers, leading to the establishment of a number of actual West African empires thriving on slave trade.
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These included the Oyo empire (Yoruba), Kong Empire, Imamate of Futa Jallon, Imamate of Futa Toro, Kingdom of Koya, Kingdom of Khasso, Kingdom of Kaabu, Fante Confederacy, Ashanti Confederacy, and the kingdom of Dahomey. These kingdoms relied on a militaristic culture of constant warfare to generate the great numbers of human captives required for trade with the Europeans.[95] It is documented in the Slave Trade Debates of England in the early 19th century: "All the old writers concur in stating not only that wars are entered into for the sole purpose of making slaves, but that they are fomented by Europeans, with a view to that object."[96] The gradual abolition of slavery in European colonial empires during the 19th century again led to the decline and collapse of these African empires. When European powers began to stop the Atlantic slave trade, this caused a further change in that large holders of slaves in Africa began to exploit enslaved people on plantations and other agricultural products.[97]
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The final major transformation of slave relationships came with the inconsistent emancipation efforts starting in the mid-19th century. As European authorities began to take over large parts of inland Africa starting in the 1870s, the colonial policies were often confusing on the issue. For example, even when slavery was deemed illegal, colonial authorities would return escaped slaves to their masters.[1] Slavery persisted in some countries under colonial rule, and in some instances it was not until independence that slavery practices were significantly transformed.[98] Anti-colonial struggles in Africa often brought slaves and former slaves together with masters and former masters to fight for independence; however, this cooperation was short-lived and following independence political parties would often form based upon the stratifications of slaves and masters.[66]
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In some parts of Africa, slavery and slavery-like practices continue to this day, particularly the illegal trafficking of women and children.[99] The problem has proven to be difficult for governments and civil society to eliminate.[100]
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Efforts by Europeans against slavery and the slave trade began in the late 18th century and had a large impact on slavery in Africa. Portugal was the first country in the continent to abolish slavery in metropolitan Portugal and Portuguese India by a bill issued on 12 February 1761, but this did not affect their colonies of Brazil and Portuguese Africa. France abolished slavery in 1794. However, slavery was again allowed by Napoleon in 1802 and not abolished for good until 1848. In 1803, Denmark-Norway became the first country from Europe to implement a ban on the slave trade. Slavery itself was not banned until 1848.[101] Britain followed in 1807 with the passage of the Abolition of the Slave Trade Act by Parliament. This law allowed stiff fines, increasing with the number of slaves transported, for captains of slave ships. Britain followed this with the Slavery Abolition Act 1833 which freed all slaves in the British Empire. British pressure on other countries resulted in them agreeing to end the slave trade from Africa. For example, the 1820 U.S. Law on Slave Trade made slave trading piracy, punishable by death.[102] In addition, the Ottoman Empire abolished slave trade from Africa in 1847 under British pressure.[103]
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By 1850, the year that the last major Atlantic slave trade participant (Brazil) passed the Eusébio de Queirós Law banning the slave trade,[104] the slave trades had been significantly slowed and in general only illegal trade went on. Brazil continued the practice of slavery and was a major source for illegal trade until about 1870 and the abolition of slavery became permanent in 1888 when Princess Isabel of Brazil and Minister Rodrigo Silva (son-in-law of senator Eusebio de Queiroz) banned the practice.[66] The British took an active approach to stopping the illegal Atlantic slave trade during this period. The West Africa Squadron was credited with capturing 1,600 slave ships between 1808 and 1860, and freeing 150,000 Africans who were aboard these ships.[105] 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.
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According to Patrick Manning, internal slavery was most important to Africa in the second half of the 19th century, stating "if there is any time when one can speak of African societies being organized around a slave mode production, [1850–1900] was it". The abolition of the Atlantic slave trade resulted in the economies of African states dependent on the trade being reorganized towards domestic plantation slavery and legitimate commerce worked by slave labor. Slavery before this period was generally domestic.[66][3]
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The continuing anti-slavery movement in Europe became an excuse and a casus belli for the European conquest and colonization of much of the African continent.[77] It was the central theme of the Brussels Anti-Slavery Conference 1889-90. In the late 19th century, the Scramble for Africa saw the continent rapidly divided between imperialistic European powers, and an early but secondary focus of all colonial regimes was the suppression of slavery and the slave trade. Seymour Drescher argues that European interests in abolition were primarily motivated by economic and imperial goals.[106] Despite slavery often being a justification behind conquest, colonial regimes often ignored slavery or allowed slavery practices to continue. This was because the colonial state depended on the cooperation of indigenous political and economic structures which were heavily involved in slavery. As a result, early colonial policies usually sought to end slave trading while regulating existing slave practices and weakening the power of slave maaters.[61] Furthermore the early colonial states had weak effective control over their territories, which precluded efforts to widespread abolition. Abolition attempts became more concrete later during the colonial period.[61]
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There were many causes for the decline and abolition of slavery in Africa during the colonial period including colonial abolition policies, various economic changes, and slave resistance. The economic changes during the colonial period, including the rise of wage labor and cash crops, hastened the decline of slavery by offering new economic opportunities to slaves. The abolition of slave raiding and the end of wars between African states drastically reduced the supply of slaves. Slaves would take advantage of early colonial laws that nominally abolished slavery and would migrate away from their masters although these laws often were intended to regulate slavery more than actually abolish it. This migration led to more concrete abolition efforts by colonial governments.[61][107][1][61]
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Following conquest and abolition by the French, over a million slaves in French West Africa fled from their masters to earlier homes between 1906 and 1911.[108] In Madagascar over 500,000 slaves were freed following French abolition in 1896.[109] In response to this pressure, Ethiopia officially abolished slavery in 1932, Sokoto Caliphate abolished slavery in 1900, and the rest of the Sahel in 1911. Colonial nations were mostly successful in this aim, though slavery is still very active in Africa even though it has gradually moved to a wage economy. Independent nations attempting to westernize or impress Europe sometimes cultivated an image of slavery suppression, even as they, in the case of Egypt, hired European soldiers like Samuel White Baker's expedition up the Nile. Slavery has never been eradicated in Africa, and it commonly appears in African states, such as Chad, Ethiopia, Mali, Niger, and Sudan, in places where law and order have collapsed.[110]
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Although outlawed in all countries today, slavery is practiced in secret in many parts of the world.[111] There are an estimated 30 million victims of slavery worldwide.[112] In Mauritania alone, up to 600,000 men, women and children, or 20% of the population, are enslaved, many of them used as bonded labour.[113][114] Slavery in Mauritania was finally criminalized in August 2007.[115] During the Second Sudanese Civil War people were taken into slavery; estimates of abductions range from 14,000 to 200,000.[116] In Niger, where the practice of slavery was outlawed in 2003, a study found that almost 8% of the population are still slaves.[117][118]
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Slavery and the slave trades had a significant impact on the size of the population and the gender distribution throughout much of Africa. The precise impact of these demographic shifts has been an issue of significant debate.[119] The Atlantic slave trade took 70,000 people, primarily from the west coast of Africa, per year at its peak in the mid-1700s.[66] The Arab slave trade involved the capture of peoples from the continental interior, who were then shipped overseas through ports on the Red Sea and elsewhere.[120] It peaked at 10,000 people bartered per year in the 1600s.[66] According to Patrick Manning, there was a consistent population decrease in large parts of Sub-Saharan Africa as a result of these slave trades. This population decline throughout West Africa from 1650 until 1850 was exacerbated by the preference of slave traders for male slaves. It is important to note that this preference only existed in the transatlantic slave trade. More female slaves than male were traded across the continent of Africa.[46][66] In eastern Africa, the slave trade was multi-directional and changed over time. To meet the demand for menial labor, Zanj slaves captured from the southern interior were sold through ports on the northern seaboard in cumulatively large numbers over the centuries to customers in the Nile Valley, Horn of Africa, Arabian Peninsula, Persian Gulf, India, Far East and the Indian Ocean islands.[120]
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The extent of slavery within Africa and the trade in slaves to other regions is not known precisely. Although the Atlantic slave trade has been best studied, estimates range from 8 million people to 20 million.[121] The Trans-Atlantic Slave Trade Database estimates that the Atlantic slave trade took around 12.8 million people between 1450 and 1900.[1][122] The slave trade across the Sahara and Red Sea from the Sahara, the Horn of Africa, and East Africa, has been estimated at 6.2 million people between 600 and 1600.[1] Although the rate decreased from East Africa in the 1700s, it increased in the 1800s and is estimated at 1.65 million for that century.[1]
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Estimates by Patrick Manning are that about 12 million slaves entered the Atlantic trade between the 16th and 19th century, but about 1.5 million died on board ship.[123] About 10.5 million slaves arrived in the Americas.[123] Besides the slaves who died on the Middle Passage, more Africans likely died during the slave raids in Africa and forced marches to ports. Manning estimates that 4 million died inside Africa after capture, and many more died young.[123] Manning's estimate covers the 12 million who were originally destined for the Atlantic, as well as the 6 million destined for Asian slave markets and the 8 million destined for African markets.[123]
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The demographic effects of the slave trade are some of the most controversial and debated issues. Walter Rodney argued that the export of so many people had been a demographic disaster and had left Africa permanently disadvantaged when compared to other parts of the world, and that this largely explains that continent's continued poverty.[124] He presents numbers that show that Africa's population stagnated during this period, while that of Europe and Asia grew dramatically. According to Rodney all other areas of the economy were disrupted by the slave trade as the top merchants abandoned traditional industries to pursue slaving and the lower levels of the population were disrupted by the slaving itself.
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Others have challenged this view. J. D. Fage compared the number effect on the continent as a whole. David Eltis has compared the numbers to the rate of emigration from Europe during this period. In the 19th century alone over 50 million people left Europe for the Americas, a far higher rate than were ever taken from Africa.[125]
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Others in turn challenged that view. Joseph E. Inikori argues the history of the region shows that the effects were still quite deleterious. He argues that the African economic model of the period was very different from the European, and could not sustain such population losses. Population reductions in certain areas also led to widespread problems. Inikori also notes that after the suppression of the slave trade Africa's population almost immediately began to rapidly increase, even prior to the introduction of modern medicines.[126]
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There is a longstanding debate among analysts and scholars about the destructive impacts of the slave trades.[20] It is often claimed that the slave trade undermined local economies and political stability as villages' vital labour forces were shipped overseas as slave raids and civil wars became commonplace. With the rise of a large commercial slave trade, driven by European needs, enslaving your enemy became less a consequence of war, and more and more a reason to go to war.[127] The slave trade was claimed to have impeded the formation of larger ethnic groups, causing ethnic factionalism and weakening the formation for stable political structures in many places. It also is claimed to have reduced the mental health and social development of African people.[128]
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In contrast to these arguments, J. D. Fage asserts that slavery did not have a wholly disastrous effect on the societies of Africa.[129] Slaves were an expensive commodity, and traders received a great deal in exchange for each enslaved person. At the peak of the slave trade hundreds of thousands of muskets, vast quantities of cloth, gunpowder, and metals were being shipped to Guinea. Most of this money was spent on British-made firearms (of very poor quality) and industrial-grade alcohol. Trade with Europe at the peak of the slave trade—which also included significant exports of gold and ivory—was some 3.5 million pounds Sterling per year. By contrast, the trade of the United Kingdom, the economic superpower of the time, was about 14 million pounds per year over this same period of the late 18th century. As Patrick Manning has pointed out, the vast majority of items traded for slaves were common rather than luxury goods. Textiles, iron ore, currency, and salt were some of the most important commodities imported as a result of the slave trade, and these goods were spread within the entire society raising the general standard of living.[20]
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Although debated, it is argued that the Atlantic slave trade devastated the African economy. In 19th century Yoruba Land, economic activity was described to be at its lowest ever while life and property were being taken daily, and normal living was in jeopardy because of the fear of being kidnapped.[130] (Onwumah, Imhonopi, Adetunde,2019)
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Karl Marx in his economic history of capitalism, [Das Kapital], claimed that "...the turning of Africa into a warren for the commercial hunting of black-skins [that is, the slave trade], signalled the rosy dawn of the era of capitalist production." He argued that the slave trade was part of what he termed the "primitive accumulation" of European capital, the non-capitalist accumulation of wealth that preceded and created the financial conditions for Britain's industrialisation and the advent of the capitalist mode of production.[131]
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Eric Williams has written about the contribution of Africans on the basis of profits from the slave trade and slavery, arguing that the employment of those profits were used to help finance Britain’s industrialisation. He argues that the enslavement of Africans was an essential element to the Industrial Revolution, and that European wealth was, in part, a result of slavery, but that by the time of its abolition it had lost its profitability and it was in Britain's economic interest to ban it.[132] Joseph Inikori has written that the British slave trade was more profitable than the critics of Williams believe. Other researchers and historians have strongly contested what has come to be referred to as the "Williams thesis" in academia: David Richardson has concluded that the profits from the slave trade amounted to less than 1% of domestic investment in Britain,[133] and economic historian Stanley Engerman finds that even without subtracting the associated costs of the slave trade (e.g., shipping costs, slave mortality, mortality of whites in Africa, defense costs) or reinvestment of profits back into the slave trade, the total profits from the slave trade and of West Indian plantations amounted to less than 5% of the British economy during any year of the Industrial Revolution.[134] Historian Richard Pares, in an article written before Williams’ book, dismisses the influence of wealth generated from the West Indian plantations upon the financing of the Industrial Revolution, stating that whatever substantial flow of investment from West Indian profits into industry there was occurred after emancipation, not before.[135] Findlay and O'Rourke noted that the figures presented by O'Brien (1982) to back his claim that "the periphery was peripheral" suggest the opposite, with profits from the periphery 1784–1786 being £5.66 million when there was £10.30 million total gross investment in the British economy and similar proportions for 1824–1826. They note that dismissing the profits of the enslavement of human beings from significance because it was a "small share of national income", could be used to argue that there was no industrial revolution, since modern industry provided only a small share of national income and that it is a mistake to assume that small size is the same as small significance. Findlay and O'Rourke also note that the share of American export commodities produced by enslaved human beings, rose from 54% between 1501 and 1550 to 82.5% between 1761–1780.[136]
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Seymour Drescher and Robert Anstey argue the slave trade remained profitable until the end, because of innovations in agriculture, and that moralistic reform, not economic incentive, was primarily responsible for abolition.[137]
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A similar debate has taken place about other European nations. The French slave trade, it is argued, was more profitable than alternative domestic investments, and probably encouraged capital accumulation before the Industrial Revolution and Napoleonic Wars.[138]
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Maulana Karenga states the effects of the Atlantic slave trade in African captives: "[T]he morally monstrous destruction of human possibility involved redefining African humanity to the world, poisoning past, present and future relations with others who only know us through this stereotyping and thus damaging the truly human relations among people of today". He says that it constituted the destruction of culture, language, religion and human possibility.[139]
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