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Ann Darrow was the name of the leading female character in which famous film of The 1930’s ? | Ann Darrow (Character)
Ann Darrow (Character)
from King Kong (1933)
The content of this page was created by users. It has not been screened or verified by IMDb staff.
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Overview
Biography:
Ann Darrow is a fictional character from the 1933 movie King Kong and its 2005 remake... See more »
Alternate Names:
... aka "Kong: The Eighth Wonder of the World" - International (English title) (teaser title)
... aka "Peter Jackson's King Kong" - USA (promotional title)
Dwan : You're just going to America to be a star. See more »
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| King Kong |
Which Northern English city has districts called Manningham, Heaton and Little Horton ? | Kong is King.net | The History of King Kong
King Kong came back. In 2005, writer/director Peter Jackson, the man responsible for The Lord of the Rings Trilogy, directed a new, large-scale remake featuring a monstrous computer generated ape created by Jackson's special effects company, WETA Digital. However, Kong's origins lay long ago, towards the beginning of the last century in fact. What follows is a history of the great ape's adventures, on both the large and small screen. This history's films and TV series are the ones that were widley released. Many of the films that never left their native countries, such as the Indian and Japanese films, are not listed.
"King Kong" - 1933
Official Text: An expedition explores a remote island with a gigantic ape deity known as Kong. Kong falls in love with a beautiful actress, who accompanies the expedition, when she is offered as a sacrifice. She is rescued. Kong is captured and taken to New York for exhibition. Kong breaks out of his cage and tries to elope with the actress.
By the early 1930's, many producers were trying to build on the success of Sir Arthur Conan Doyle's "The Lost World," an epic adventure film about an expedition to a plateau filled with prehistoric animals, which we brought to life by Willis O'Brien. Merian C. Cooper and Edgar Wallace came up with the story about an island populated by dinosaurs, and of course, a huge silverback gorilla. The tale told of Carl Denham, a filmmaker who heads to the remote Skull Island to capture Kong, a huge creature who the locals hold at bay with a giant barrier that keep the beast locked in his primordial jungle. Ann Darrow, and John "Jack" Driscoll get caught up in the adventure, as Ann is captured by Kong and taken into the interior of his island home, and Jack leads the rescue mission to bring her back. On the way, the explorers are attacked by various types of dinosaurs. Eventually, they capture the gorilla and take him back to civilization, where Kong meets his end on the Empire State Building. The film went down in history as one of the great film adventures to be produced in that time period, and is considered a classic today.
Be sure to watch our Quicktime 'turnaround' of the original King Kong model! [ Small ] [ Med ] [ Large ]
"Son of Kong" - 1933
Official Text: After Kong has wrecked New York, producer Carl Denham flees from his creditors to Skull Island in search of some treasure, meets up with a cute brunette and the offspring of the thing that ruined him.
After the wonderful reaction to the first film, a sequel was produced. Carl Denham returned, this time meeting a little Kong. The film was considered mediocre at best. (An interesting note: Both of these early films feature a character known as a "Witch king." Sound familiar?)
"Kingukongu tai Gojira (King Kong vs. Godzilla)" - 1962
Official Text: In the waters off Japan, Godzilla, long thought destroyed, breaks out from an iceberg and heads towards the Japanese mainland. Meanwhile, the head of Tokyo Television Company dispatches a crew to Farou Island to capture the mysterious god that is reported to live on the island. The TTC crew then knocks out the giant ape known as "Kong" with narcotic berries and float him back to Japan on a raft. Kong escapes from the raft and he swims ashore to cause massive destruction. Meanwhile, Godzilla continues toward Tokyo. The authorities plan to use the strange narcotic berries to knock Kong out and bring him to Mt. Fuji where he will encounter, and, hopefully, destroy Godzilla.
Another addition in the "Godzilla" series, the Japanese certainly have their own unique, and fun, take on the great ape.
"King Kong" The TV Series" - 1966-69
Description:
This popular ABC Saturday morning show was based on the famous 1930's monster movie. In this version, Kong lives peacefully on an island with the Bond family and fights various villians. Kong's best friend, Bobby Bond, is voiced by Billie Richards from "Rudolph The Red Nosed Reindeer." Each episode of "The King Kong Show" featured two adventures of Kon, and one episode of "Tom Of T.H.U.M.B." featuring a miniaturized secret agent, Tom, and his Asian sidekick, Swinging Jack. As part of the licensing deal to make this animated series, Rankin/Bass had to promise to make a new live action feature which they did in 1968 ("King Kong Escapes") in conjunction with Toho Productions, the makers of Godzilla.
This was a children's series that featured the large ape and his escapades with young Billy Bond. It pretty much ignored the canon from the films.
Looking for the theme song? We've got it right here! (Thanks to Harry over at AICN )
| i don't know |
"Which popular Restaurant chain, launched in 1979 now has over 125 different outlets Originally had a mascot named Charlie Chalk and has the advertising slogan ""Pub Food As It Should Be"" ?" | Brewers Fayre : definition of Brewers Fayre and synonyms of Brewers Fayre (English)
History
In the 1980s Whitbread also had the Roast Inns chain. Its slogan was The Family Welcome.
In 1995 50 more outlets were added, at a cost of £85 million, taking the total to 280. At this time the Charlie Chalk Fun Factory was added to about thirty pubs. In 1996 52 were opened, with 17 having a Travel Inn next door; most were built near motorways. In early 1997 Whitbread introduced the Kiln & Kettle chain, which was similar to Brewers Fayre but without the children. Around the same time 90 more outlets opened.
In May 1999 Whitbread announced it was proposing to leave the brewing industry and attempted to buy 3,600 outlets (including Firkin pubs) from Allied Domecq in a proposed £2.25 billion deal, in which they lost out to Punch Taverns . Later in October 1999 Whitbread formed a pubs and bars division (2,900 outlets) and a restaurants division (1,300 outlets) which included Brewers Fayre headed by Bill Shannon. On 25 May 2000 Whitbread announced it was leaving the brewing industry by selling its beers to Interbrew for £400 million, which allowed expansion of its food restaurants. In March 2001 Whitbread sold its non-food pubs to Deutsche Bank for £1.6 billion. In September 2001 34 outlets were put up for sale. In 2003 it announced that 35 outlets a year would be added over five years.
Theme
Brewers Fayre pubs are designed to give the feel of a traditional English pub. Warm contrasting colours are used throughout as well as stonework and wooden panelling. A small number of restaurants also feature stained glass. Victorian-style lampposts are a feature in many pub car parks. Paintings featuring a local feature (for example The Forth Road Bridge in the Brewers Fayre in South Queensferry ) are located at the front entrance to many pubs
Disposals and re-branding
Inshes Gate next to the A9 at Inverness
There used to be many standalone Brewers Fayre pubs, but in 2006 Whitbread agreed to dispose of the 239 standalone Brewers Fayre and Beefeater sites. These had traditionally lower revenues and as growth had stalled in them compared to the still-growing Premier Inn sites, they were seen as an obstacle to the company's sales growth. Sites were sold to market rival Mitchells & Butlers , and over the year after they were sold, pubs were re-branded to Harvester, Toby Carvery and a selection of other brands. A large number of sites became Crown Carveries (formerly Pub & Carvery), and this sparked growth in the brand, which originally consisted of only a small number of pubs throughout the UK (they now have over 100 restaurants). A small number of standalone Brewers Fayre sites were retained where there was land where a Premier Inn could be built, such as The Three Bells near Lymington and The Craigside Inn in Llandudno . In 2008 Whitbread sold a further 44 Brewers Fayre & Beefeater sites (such as the Lauriston Farm in Edinburgh ) in exchange of 21 Express by Holiday Inn hotels, which were converted to Premier Inn.
Brewers Fayre Local
A small number of sites were renamed Brewers Fayre local, such as "The Glassworks" in Stourbridge. These pubs originally had a different menu but on the inside were designed more or less like a Table Table restaurant. The spin off brand did not appear to work as planned, and they are now just known as Brewers Fayre and have the same menu.
Brewster's
For a period in the early 2000s, some larger outlets were re-branded as Brewster's to differentiate a set of more family-oriented pubs from those more suited to adults. Although very similar in the environment and food offerings, Brewster's placed a greater emphasis on entertaining children: pubs had a multi-level play area known as the 'Fun Factory', children's entertainers and ice-cream machines. The brand was phased out in 2005, with most of its 147 outlets returned to the Brewers Fayre brand, after Brewster's had been identified as Whitbread's poorest-performing restaurant. All restaurants kept their indoor fun factories and at this point the firm's mascot Brewster the Bear took over as the Brewers Fayre mascot. A small number of Brewster's sites, such as The Inshes Gate in Inverness and Central Park in Rugby , had their fun factories cut down in size and became known as Play Zones. [2] [ citation needed ].
Honourable Pilot at the A2/A289 junction in Kent
Table Table
Main article: Table Table
In 2006 a small number of Brewers Fayre restaurants were converted to Table Table restaurants, a more contemporary pub restaurant brand of Whitbread's. Originally the restaurants were unnamed (some kept the name Brewers Fayre but the logo was black instead of red). The first site was The Newhouse in Motherwell (which opened in June 2006). Over 100 sites were refurbished during 2007 and early 2008. Brewers Fayre has now stopped refurbishing its sites to this brand. Table Table had grown to 111 outlets by 2010. [1]
Taybarns
Starting in December 2007 with the Swansea Vale, a small number of restaurants were converted to the Taybarns format, an all-you-can-eat buffet restaurant. Whitbread announced plans to convert more Brewers Fayre sites to the Taybarns brand during 2009 and 2010, [3] but these conversions had not taken place by the end of 2011, partly due to their high cost. Possible sites included The Yeadon Way in Blackpool .
Beefeater
In early 2008 about ten Brewers Fayre restaurants were rebranded as Beefeater, such as The Millfield in York .
Brewers Fayre Buffet Place
Although a majority of Brewers Fayre pubs feature the Buffet Place as part of their restaurants, the newest site in Widnes (and a site due to open in autumn 2012) have been named 'Brewers Fayre Buffet Place'. the Widnes site features a larger buffet counter with buffets available all the time. Extras such as cakes and salads are also available. The theme of the restaurant is also slightly different.
Castle Lake at Leybourne at the A228 junction 4 of the M20 near Leybourne Lakes Country Park
Rejuvenation
Despite the previous policy of disposals and rebranding of Brewers Fayres sites, the chain has seen a resurgence in popularity fuelled by new menu offers such as 2 for £10 meal deals, along with an option for 2 desserts for £2.[ citation needed ] In late 2008 a refurbishment program was launched. All sites were given a small make over featuring a new colour scheme, new carpets and paintings in the restaurants. Some of the first sites to be refurbished were The Meadows near Barnsley and The Oaks at Norwich Airport.
On 31 March 2009 the new theme kicked off with a new logo featuring the new slogan "Pub Food as it Should Be" printed on the menus. Sites continued to be refurbished, with the last site refurbished in 2010. New external signage was given to each pub at this time, too. In December 2009, The Papermill in High Wycombe was refurbished and hot counters were added in the restaurant. The buffet counters (known as the "Buffet Place") are to hoast theme nights such as "Curry Night" on weekdays in addition to the main menu.[ citation needed ] After a successful trial at this location the programme was rolled out to further Brewers Fayre locations in September 2010 and then again during 2011. In September 2010 theme nights were introduced to all pubs, including those without buffet counters. These included "Pie nights" and "Fish & Chip shop nights". Sites that have the "Buffet Place" featured more theme nights for every weekday such as "Mexican night". This was a more cost-effective solution than conversion to a Taybarns or a Table Table restaurant, formats which currently have higher sales and profits than Brewers Fayre. More themes have been created since, and in some restaurants there is a different theme all day every day.
According to Whitbread, it was "benefiting from sales at its Brewers Fayre and Premier Inn chain" in a 2011 economy in which "domestic price pressures [are] near their highest levels in two decades." [4] After opening The Harbour in Carrickfergus, Northern Ireland in early 2006, Brewers Fayre opened no pubs for over two years. Then The Wobbly Wheel near Banbury was refurbished from Millers Kitchen to Brewers Fayre in June 2008. Brewers Fayre opened its first new build site in 2011, The Malt & Myre at Lomondgate near Dumbarton, and now the brand is slowly opening more new build sites.
Children's zones
Almost all Brewers Fayres have some sort of children's play area. Almost all pubs feature an outdoor children's play area. All sites that were known as Brewster's have a big indoor multi-level soft play areas known as the Fun Factory (with the exception of a small number of pubs which cut the size of the fun factory to make way for more dining space). Brewster Bear is the firm's own mascot who appears in the indoor fun factories. Brewers Fayre originally had Charlie Chalk as their mascot, but he was replaced after the take over of Brewster's. A small number of Brewers Fayre pubs which had not been Brewster's also featured fun factories; however, most just had outdoor play areas.
Brewers Fayre specialise in birthday parties for children, allowing private use of the Fun Factory.
References
| Brewers Fayre |
Which moon of the planet Uranus shares it’s name with the daughter of Prospero in Shakespeare’s The Tempest ? | Brewers Fayre : definition of Brewers Fayre and synonyms of Brewers Fayre (English)
History
In the 1980s Whitbread also had the Roast Inns chain. Its slogan was The Family Welcome.
In 1995 50 more outlets were added, at a cost of £85 million, taking the total to 280. At this time the Charlie Chalk Fun Factory was added to about thirty pubs. In 1996 52 were opened, with 17 having a Travel Inn next door; most were built near motorways. In early 1997 Whitbread introduced the Kiln & Kettle chain, which was similar to Brewers Fayre but without the children. Around the same time 90 more outlets opened.
In May 1999 Whitbread announced it was proposing to leave the brewing industry and attempted to buy 3,600 outlets (including Firkin pubs) from Allied Domecq in a proposed £2.25 billion deal, in which they lost out to Punch Taverns . Later in October 1999 Whitbread formed a pubs and bars division (2,900 outlets) and a restaurants division (1,300 outlets) which included Brewers Fayre headed by Bill Shannon. On 25 May 2000 Whitbread announced it was leaving the brewing industry by selling its beers to Interbrew for £400 million, which allowed expansion of its food restaurants. In March 2001 Whitbread sold its non-food pubs to Deutsche Bank for £1.6 billion. In September 2001 34 outlets were put up for sale. In 2003 it announced that 35 outlets a year would be added over five years.
Theme
Brewers Fayre pubs are designed to give the feel of a traditional English pub. Warm contrasting colours are used throughout as well as stonework and wooden panelling. A small number of restaurants also feature stained glass. Victorian-style lampposts are a feature in many pub car parks. Paintings featuring a local feature (for example The Forth Road Bridge in the Brewers Fayre in South Queensferry ) are located at the front entrance to many pubs
Disposals and re-branding
Inshes Gate next to the A9 at Inverness
There used to be many standalone Brewers Fayre pubs, but in 2006 Whitbread agreed to dispose of the 239 standalone Brewers Fayre and Beefeater sites. These had traditionally lower revenues and as growth had stalled in them compared to the still-growing Premier Inn sites, they were seen as an obstacle to the company's sales growth. Sites were sold to market rival Mitchells & Butlers , and over the year after they were sold, pubs were re-branded to Harvester, Toby Carvery and a selection of other brands. A large number of sites became Crown Carveries (formerly Pub & Carvery), and this sparked growth in the brand, which originally consisted of only a small number of pubs throughout the UK (they now have over 100 restaurants). A small number of standalone Brewers Fayre sites were retained where there was land where a Premier Inn could be built, such as The Three Bells near Lymington and The Craigside Inn in Llandudno . In 2008 Whitbread sold a further 44 Brewers Fayre & Beefeater sites (such as the Lauriston Farm in Edinburgh ) in exchange of 21 Express by Holiday Inn hotels, which were converted to Premier Inn.
Brewers Fayre Local
A small number of sites were renamed Brewers Fayre local, such as "The Glassworks" in Stourbridge. These pubs originally had a different menu but on the inside were designed more or less like a Table Table restaurant. The spin off brand did not appear to work as planned, and they are now just known as Brewers Fayre and have the same menu.
Brewster's
For a period in the early 2000s, some larger outlets were re-branded as Brewster's to differentiate a set of more family-oriented pubs from those more suited to adults. Although very similar in the environment and food offerings, Brewster's placed a greater emphasis on entertaining children: pubs had a multi-level play area known as the 'Fun Factory', children's entertainers and ice-cream machines. The brand was phased out in 2005, with most of its 147 outlets returned to the Brewers Fayre brand, after Brewster's had been identified as Whitbread's poorest-performing restaurant. All restaurants kept their indoor fun factories and at this point the firm's mascot Brewster the Bear took over as the Brewers Fayre mascot. A small number of Brewster's sites, such as The Inshes Gate in Inverness and Central Park in Rugby , had their fun factories cut down in size and became known as Play Zones. [2] [ citation needed ].
Honourable Pilot at the A2/A289 junction in Kent
Table Table
Main article: Table Table
In 2006 a small number of Brewers Fayre restaurants were converted to Table Table restaurants, a more contemporary pub restaurant brand of Whitbread's. Originally the restaurants were unnamed (some kept the name Brewers Fayre but the logo was black instead of red). The first site was The Newhouse in Motherwell (which opened in June 2006). Over 100 sites were refurbished during 2007 and early 2008. Brewers Fayre has now stopped refurbishing its sites to this brand. Table Table had grown to 111 outlets by 2010. [1]
Taybarns
Starting in December 2007 with the Swansea Vale, a small number of restaurants were converted to the Taybarns format, an all-you-can-eat buffet restaurant. Whitbread announced plans to convert more Brewers Fayre sites to the Taybarns brand during 2009 and 2010, [3] but these conversions had not taken place by the end of 2011, partly due to their high cost. Possible sites included The Yeadon Way in Blackpool .
Beefeater
In early 2008 about ten Brewers Fayre restaurants were rebranded as Beefeater, such as The Millfield in York .
Brewers Fayre Buffet Place
Although a majority of Brewers Fayre pubs feature the Buffet Place as part of their restaurants, the newest site in Widnes (and a site due to open in autumn 2012) have been named 'Brewers Fayre Buffet Place'. the Widnes site features a larger buffet counter with buffets available all the time. Extras such as cakes and salads are also available. The theme of the restaurant is also slightly different.
Castle Lake at Leybourne at the A228 junction 4 of the M20 near Leybourne Lakes Country Park
Rejuvenation
Despite the previous policy of disposals and rebranding of Brewers Fayres sites, the chain has seen a resurgence in popularity fuelled by new menu offers such as 2 for £10 meal deals, along with an option for 2 desserts for £2.[ citation needed ] In late 2008 a refurbishment program was launched. All sites were given a small make over featuring a new colour scheme, new carpets and paintings in the restaurants. Some of the first sites to be refurbished were The Meadows near Barnsley and The Oaks at Norwich Airport.
On 31 March 2009 the new theme kicked off with a new logo featuring the new slogan "Pub Food as it Should Be" printed on the menus. Sites continued to be refurbished, with the last site refurbished in 2010. New external signage was given to each pub at this time, too. In December 2009, The Papermill in High Wycombe was refurbished and hot counters were added in the restaurant. The buffet counters (known as the "Buffet Place") are to hoast theme nights such as "Curry Night" on weekdays in addition to the main menu.[ citation needed ] After a successful trial at this location the programme was rolled out to further Brewers Fayre locations in September 2010 and then again during 2011. In September 2010 theme nights were introduced to all pubs, including those without buffet counters. These included "Pie nights" and "Fish & Chip shop nights". Sites that have the "Buffet Place" featured more theme nights for every weekday such as "Mexican night". This was a more cost-effective solution than conversion to a Taybarns or a Table Table restaurant, formats which currently have higher sales and profits than Brewers Fayre. More themes have been created since, and in some restaurants there is a different theme all day every day.
According to Whitbread, it was "benefiting from sales at its Brewers Fayre and Premier Inn chain" in a 2011 economy in which "domestic price pressures [are] near their highest levels in two decades." [4] After opening The Harbour in Carrickfergus, Northern Ireland in early 2006, Brewers Fayre opened no pubs for over two years. Then The Wobbly Wheel near Banbury was refurbished from Millers Kitchen to Brewers Fayre in June 2008. Brewers Fayre opened its first new build site in 2011, The Malt & Myre at Lomondgate near Dumbarton, and now the brand is slowly opening more new build sites.
Children's zones
Almost all Brewers Fayres have some sort of children's play area. Almost all pubs feature an outdoor children's play area. All sites that were known as Brewster's have a big indoor multi-level soft play areas known as the Fun Factory (with the exception of a small number of pubs which cut the size of the fun factory to make way for more dining space). Brewster Bear is the firm's own mascot who appears in the indoor fun factories. Brewers Fayre originally had Charlie Chalk as their mascot, but he was replaced after the take over of Brewster's. A small number of Brewers Fayre pubs which had not been Brewster's also featured fun factories; however, most just had outdoor play areas.
Brewers Fayre specialise in birthday parties for children, allowing private use of the Fun Factory.
References
| i don't know |
If you were to order Rochebaron in a French restaurant, which food would you be served ? | Slow Travel France - French Language Lessons, Out for Dinner, ordering in restaurants
* Sometimes spelled with a final t.
Meals
Although, like us, the French eat three meals per day, what they eat at each meal differs from what's customary in the US or UK. Generally breakfast is coffee and bread and jam. Contrary to common belief, croissants are not usually eaten daily but rather on more special occasions like weekends. (That said, we encourage you to eat many croissants au beurre whenever you like! After all, it's your vacation!)
Both lunch and dinner can be larger or smaller meals. Traditionally the midday meal was the largest one. Nowadays, there is more variation - some people prefer to eat a smaller lunch and a larger dinner or vice versa. Lunch is served in restaurants usually between 12pm and 2pm. Dinner service usually starts at 7pm, although many French people don't go out for dinner until at least 8pm.
ENGLISH
please (in order to get waiter's attention)
s'il vous plaît
seel voo pleh
* If pronouncing all of the consonants "t", "r" and "w" together is too difficult, leaving out the "r" will give you a close enough approximation. However, note that toi (twah) is a different word that means "you" informal.
** The French invariably pronounce foreign words as if they were French. It's not a bad idea to learn to pronounce your name as it might be pronounced in France. We are dah-VEED roh-NEES (David Ronis), zhoh-nah-TAH mohr-GAHN (Jonathan Morgan) et stehv koh-EHN (Steve Cohen)!
Beverages
Usually, servers first ask you what you would like to drink. Common choices are aperitifs, mineral water and wine. Below are some terms that will help you with your beverage order.
ENGLISH
ay-vee-ah
Other Beverages
Often, servers will offer you a drink before your meal. Also, many people like to have an after-dinner drink. Please refer to the Café Talk lesson for a list of common aperitifs and after-dinner drinks.
Ordering Food
When your drink order has been taken, it's time to turn to food. A traditional, full French meal might consist of appetizer, soup, fish course, meat course, cheese, dessert and coffee. Nowadays, diners are not expected to eat all of these courses. However, in the spirit of trying something new, you might consider a course in which you normally don't partake – cheese, for instance. Most fixed price menus are three or four courses and usually offer either an appetizer or soup for the first and dispense with the cheese course.
Here is some vocabulary that should be useful when ordering.
ENGLISH
ça suffit
sah sew-fee
* Notice the subtle difference in pronunciation between voudrez (voo-dray) in the question and voudrais (voo-dreh) in the answer.
** A potage is usually a soup that is enriched with one or more of the following: cream, butter, egg, or a flour roux (butter and flour cooked together).
*** Beware that the words for fish (poisson) and drink (boisson) are very similar. If you mix the two up, you might find yourself in an embarrassing situation!
Special Requests
Many travelers have dietary restrictions or preferences. Here are a number of terms that will be helpful should you have any special needs.
ENGLISH
biologique
bee-oh-loh-zheek
* Feminine form in parenthesis. Also note that the indefinite article ("a" in English) is left out of the translated French phrase. Je suis un vegetarien is incorrect.
Menu Items
The following are examples of dishes commonly found on menus. It is, by no means, comprehensive. The gastronomy of France is vast and it's beyond the scope of these lessons to provide a detailed pronouncing dictionary of food terms. We do hope, however, that it will be helpful with the basics. (Note, again, that in this section we've switched the order in which the terms appear: French-English-Transliteration.)
Appetizers
Here are some appetizers you might find on a menu.
FRENCH
chicken breast
sew-prehm duh voh-lahy*
* The last syllable in volaille is basically a diphthong – a combination of two vowels, "ah" and "ee". In this case, the "ah" component receives the emphasis with the "ee" sounded lightly at the end.
Meat
In addition to the words for various meats, we're including a few of the organ meats. Europeans eat them with much more frequency than Americans and they are very commonly found on menus. Particularly if you don't like organ meats, you might want to know a few of their names so when they come up, you can avoid them!
FRENCH
veal sweetbreads (thymus gland)
ree duh voh
The French, in fact most Europeans, tend to cook their beef less than we do in the US and most wouldn't consider eating a steak well-done. Since both this predilection as well as the system for how meat is cooked is different from that in English-speaking countries, it's difficult to accurately translate the terms "rare, medium-rare" etc. Guidebooks and phrasebooks routinely contradict one another on this subject. That said, below is a guide that will hopefully be helpful. Of course, if meat is undercooked, you can always send it back to be cooked a bit more, although you might get a strange look from the waiter! In order to have a steak well-done, it might be necessary to order it très bien cuit.
FRENCH
ice cream
glahs
* Say that 10 times fast! Actually, since it's so difficult to articulate all of the "t"s, the final "t" in tarte is usually omitted, or rather assimilated into the initial "t" of tatin: "tahr tah-ta".
Coffee
After a meal, it's very common in France to have a cup of coffee. However, the French very seldom drink coffee with milk or cream after a meal. Like the Italians, there's a feeling that milk in coffee does not aid digestion. Most often, they'll just have a simple espresso. That said, don't let local custom dissuade you from enjoying a café au lait after your meal, if the spirit moves you. Decaffeinated coffee isn't an uncommon request in France. Nor is herbal or black tea. For a comprehensive listing of coffee terms, please consult the lesson entitled Café Talk .
Paying the Bill
When you are ready to pay and leave, you are expected to ask for your check. Waiters will almost never bring you the check until you request it. Restaurants in Europe don't expect to "turn over" tables. Once you sit down, the table is usually yours for the evening, or for as long as you like.
ENGLISH
You can hear this dialog being spoken.
Download MP3 soundtrack: fr_restaurants.mp3 (340kb)
Click on the link to play the sound file (it takes a few minutes to download). Right click to download the file to save on your computer.
Dialog
In the Slow Travel Italian Language Lesson: Going Out For Dinner, we encountered a simple conversation between a husband, wife and waiter at an Italian trattoria. What a coincidence that the same couple has decided to come to France the next year! Now they find themselves at a restaurant in Paris.
Maître d': Bon soir, monsieur-dame. Vous avez une réservation?
Husband: Oui. Pour deux personnes à huit heures et demi.
Maître d': Quel est le nom?
Husband: Cohen.
Maître d': Bon, alors. Suivez-moi, s'il vous plaît.
The Maître d' shows the couple to their table, gives them menus, leaves them alone. In a couple of minutes a waiter comes to take their order.
Waiter: Bonsoir. Est-ce que vous voudrez quelque chose à boire? Un apéritif?
Wife: Non, merci. Une bouteille d'eau minerale avec gas.
Husband: Et un demi-litre de vin rouge du pays.
Waiter: Bon. Et à manger?
Wife: Je voudrais le menu prix-fixe à dix-neuf euros, avec les escargots à la bourguignonne, la sole meunière, une salade verte, et le mousse au chocolat.
Husband: Moi, je voudrais la soupe à l'oignon, le cassoulet, une salade verte et la tarte tatin.
Waiter: Excellent! Merci bien.
The food is served and the couple relax and enjoy their meal. Finally they are ready to leave.
Husband: L'addition, s'il vous plaît.
Waiter: Oui.
The couple pays the check, which includes a 12% service charge to which they add a few extra euro, and then they leave, stomachs full, and extremely content!
Waiter: Bon soir. Merci.
| Cheese |
If you were to order Fladenbrot in a German or Turkish restaurant, which food would You be served ? | Meals and the Culture of Spain
Meals and the Culture of Spain
Meals and the Culture of Spain
Spanish Meals & Eating Customs
By Lisa & Tony Sierra
Updated November 23, 2016.
Spaniards love their food! In fact, the typical Spaniard probably eats more food than any one of us in the USA, but they take their time eating, spread their meals throughout the day, and walk between meals. Below is a brief description of a day of Spanish meals, from breakfast to dinner, with approximate mealtimes, as well as sample menus.
The Smallest Meal of the Day
Continental Breakfast
A typical breakfast might include café con leche - strong coffee with hot, frothy milk, bollos (sweet rolls) with jam, toast with jam or mild cheese, or simply "Maria" crackers dunked in hot milk. Some families buy sweet and lemony magdalenas from the neighborhood bakery, but it is now very common (and more economical) to buy bags of these petite, fluffy, cupcake-like cakes in the supermarkets.
Generally, breakfast in Spain is eaten at home, before dashing off to work or school. However, you may see some workers duck into the closest cafeteria at around 10:00am to enjoy a quick mid-morning "coffee break."
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Tapas - Little Spanish Meals
Tapas are eaten well after breakfast, but before lunch, the large mid-afternoon meal! They are small plates, canapés or finger food, may be warm or cold dishes, and vary greatly from region to region - season to season.
Tapas-Time generally includes bar-hopping to wine-taste and chat
A different Tapa is ordered at each stop
This time is just as much about socializing with friends and neighbors as it is about the quality of the tapas
Friends may have a circuit, making regular stops at favorite bars
The Spanish love tapas so much, they made a verb out of it. The phrase Vamos a tapear! means “Let’s go eat tapas!” There are literally hundreds, perhaps thousands of tapas. A few of the most popular tapas are:
Tortilla Española - Spanish Omelet, also called tortilla de patata, or potato omelet
Patatas Bravas - Potatoes with Spicy Brava Sauce
Gambas al Ajillo - Shrimp in Garlic
Want more tapas recipes? Read our Tapas FAQ , or visit our Tapas category page.
La Comida – Lunch
The midday meal or la comida as it is called in Spain is the largest meal of the day. It is definitely a large meal, usually with multiple courses. Traditionally, Spaniards have a 2-3 hour break from work or school in order to enjoy la comida and take a short nap or siesta, and the entire country closes up shop from about 2:00pm to 4:30 or 5:00pm. The siesta is a tradition that goes back centuries. When most people worked in agriculture and air conditioning did not exist, it is easy to understand why folks needed fuel from a large meal, and a rest from the hot Spanish sun before returning to farm work outside. Everyone in Spain enjoyed this afternoon break, from school kids to shop workers and government officials.
Most Spaniards still enjoy a break and large meal, but life in Spain is changing. In larger cities like Madrid and Barcelona, many people spend over an hour commuting to and from their work, making it impossible to go home for a meal and siesta. Because of this, Spanish government employees in Madrid now work a standard eight-hour day with a one-hour lunch break. Many large supermarket and retail chains in large cities don't close for lunch anymore. Most small shops still close to enjoy their meal and a break before re-opening in the late afternoon.
The Largest Meal of the Day
Multiple Courses with Wine
Eaten between 1:30 and 3:30 pm
Below is a sample meal that you might find on a menu at a restaurant, or if you were invited to someone’s home for lunch:
Vegetable, Bean or Seafood Soup (many times rice, potato or pasta-based)
Fresh Fish or Seafood, Roast Chicken or Lamb, Fried Potatoes, Rabbit Stew, etc.
Green Salad or Vegetables
Dessert - Flan, light pastry, fresh fruit or ice cream
Coffee and Liqueur or Brandy
Bread is ALWAYS on the Spanish table. It is plentiful and fresh and used to mop up sauces. Since Spanish lunches are always large, and courses come one at a time, pace yourself! Like Italians, Spaniards believe in taking their time and enjoying their meals, so la comida can last an hour and a half or longer.
Since Spaniards love eggs and dairy foods, you will find that many desserts are made from fresh milk or cream. Fresh fruit is typical to see on the dessert menu and may be served with a soft cheese. Don’t forget an espresso shot – You’ll probably need it after the big lunch!
La Merienda - Snack
The late-afternoon snack in Spain is called la merienda and is necessary since lunch is done by 3:30pm, but dinner isn't usually eaten for another five to six hours. La Merienda is especially important to children, who always seem to have lots of energy and play soccer in the streets, etc. La Merienda can be anything from a piece of French-style bread with a piece of chocolate on top, to bread with chorizo sausage, ham or salami. It is eaten around 4:30 or 5:00pm, and since dinner isn't served for at least another 3-4 hours, nobody worries that this snack will ruin the appetite for dinner!
La Cena – Dinner
Light fare, such as an omelet or fish with a green salad
Eaten between 9:00 pm and Midnight
A dinner might include fresh fish or seafood, a portion of roast chicken or lamb, with fried potatoes or rice. Portions are usually smaller, and plates are simpler. A simple and quick dish, commonly eaten at dinner is arroz cubano , which is a mound of white rice, topped with tomato sauce and a fried egg. Green salad and/or a vegetable dish are standard at lunch and dinner. A lighter dessert of fresh fruit or flan (Spanish vanilla custard) may also be eaten.
Often times, rather than sitting down to dinner at a restaurant, a group of friends may decide to meet and tapear, (make the rounds at their favorite tapas bars) before seeing a movie, going to a club or show.
After Dinner
Spaniards are night owls. The typical Spaniard does not eat dinner until at least 9 o’clock in the evening and probably does not get to bed until close to midnight. On the weekends, on holidays and during the summer months, it wouldn’t be unusual for a Spanish family to turn in round 3 or 4 o’clock in the morning. So, after the late-night dinner, Spaniards continue their socializing in their neighborhood cafés and taverns or go out to a nightclub or pub.
The last stop on the way home from an evening of fun might be to a churreria or a churro stand. Churros are fried pastries that look something like fried potatoes, though they have nothing to do with potatoes. The closest thing that we have in the USA would be fritters or donuts. However, fresh churros, bought from a street vendor or sidewalk café, served hot and sprinkled with sugar are delicious.
To accompany your churros, hot chocolate is the drink of choice! Chocolate in Spain is NOT like the chocolate that you may have had in the USA. It´s not like Mexican chocolate either, which has cinnamon and other flavors in it. Spanish chocolate is made hot and very thick. It is usually made from fresh, whole milk, not a "just add water" chocolate packet. It’s sweet and so thick that you can practically stand a spoon in it!
| i don't know |
Which Southern English city has districts called Shirley, Bassett Green and Thornhill ? | shirley southampton : definition of shirley southampton and synonyms of shirley southampton (English)
7 Around Southampton
History
The place-name Shirley means 'bright glade', from the Old English scir (bright) and leah (cleared land in a wood). [1]
Shirley is recorded as a manor with a mill in the Domesday book, 1086. Shirley Mill originally stood to the east of the present Romsey Road / Winchester Road junction, at the confluence of the Hollybrook and Tanner's Brook streams. Shirley Mill had three large ponds, to the north of Winchester Road. Only one of those three mill ponds remains today, accessible by following the Lordswood Greenway. In the nineteenth century an iron works was built, which was converted into a brewery in 1880 and subsequently into a laundry at the beginning of the 20th Century. The laundry was owned by Royal Mail and used to service the mail ships visiting Southampton .
The outflow from the mill was crossed by a ford on the Romsey Road. The stream is presently culverted under the major traffic junction which presently stands there, and continues to the Test to the east of modern Tebourba Way, open in parts and culverted in others.
The district grew rapidly in the 1830s following the enclosure of Shirley Common (not to be confused with Southampton Common ) in 1829. The parish church was built in 1836. The Shirley Local board of health was established in 1853. It merged with Freemantle in 1880. Shirley and Freemantle Urban District Council was formed on 2 January 1895 but was abolished on 8 November 1895 when the district became a suburb of Southampton. [2] [3] [4]
In 1887 a drinking fountain was constructed to celebrate the Golden Jubilee of Queen Victoria . Originally in Shirley High Street, the fountain has now been incorporated into the shopping precinct. The fountain is Grade II listed . [5]
The council estate was built in the 1960s to replace relatively dense terraced housing.
Education
Shirley is home to several schools including Upper Shirley High School (formerly Bellemoor Boys School), Taunton's College and the 450-year-old King Edward VI School . The area is also served by Regents Park Community College (formerly Regents park Girls School).
Shirley also has a mixture of both infant schools and junior schools for mixed abilities and genders.
Cemetery
The nearby Hollybrook Cemetery is notable for being the resting place of several famous individuals, including the 1966 World Cup winning footballer Alan Ball (1945-2007) and the comedian Benny Hill (1924-1992). [1]
References
| Southampton |
Which English author wrote the 1885 novel King Solomon’s Mines ? | Southampton
Southampton
MPs:
John Denham, Sandra Gidley, Alan Whitehead
Southampton is a city and major port situated on the south coast of England . It is the closest city to the New Forest , situated approximately halfway between Portsmouth and Bournemouth. Southampton lies at the northern-most point of Southampton Water where it is joined by the River Test and River Itchen, with the River Hamble joining to the south of the urban area. The city represents the core of the Greater Southampton region. A resident of Southampton is called a Sotonian.
History
Southampton High Street in 1839.
The memorial to the engineers of the RMS Titanic .
Although Stone Age settlements are known to have existed in the area, the first permanent settlement was established by the Romans . Known as Clausentum, it was an important trading port for the large Roman towns of Winchester and Salisbury.
The Anglo-Saxons moved the centre of the town across the River Itchen to its present location, and it remained an important port. At the time, it was centered around what is now the St Mary's area, and the settlement was known as Hamwic. This name was later to evolve into Hamtun, and later still to Hampton.
The Viking King Canute the Great is supposed to have defeated the Anglo-Saxon King Ethelred the Unready here in 1014 and been crowned here, and his fabled attempt to "command" the tide to halt may have taken place in Southampton. However, its prosperity was assured following the Norman Conquest in 1066, when it became the major port of transit between Winchester (then the capital of England ) and Normandy.
By the 13th Century, Southampton had become a leading port, and was particularly involved in the wool trade. The Wool House was built in 1417 as a warehouse for the medieval wool trade with Flanders and Italy . This building is today used as the Maritime Museum, and can be found near Town Quay. It includes an exhibition concerning the RMS Titanic.
Bowls was first played regularly on the Southampton Old Bowling Green adjacent to God's House Hospital in 1299. It is the world's oldest surviving bowling green.
The town was sacked in 1338 by the French, including the pirate Grimaldi, who used the plunder to help found the principality of Monaco . After this attack, the city walls were built, some of which remain as ruins today. The city walls include God's House Tower, built in 1417, the first purpose-built artillery fortification in England. Today, it is open as the Museum of Archaeology.
The 12th century Red Lion pub on the High Street below the Bargate within the old walls is where in 1415, immediately prior to King Henry V of England 's departure from Southampton to the Battle of Agincourt, the ringleaders of the " Southampton Plot", Richard, Earl of Cambridge, Henry Scrope, 3rd Baron Scrope of Masham and Sir Thomas Grey of Heton, were tried and found guilty of high treason, before being summarily executed outside the Bargate.
During the Middle Ages , shipbuilding became an increasingly important industry, which was to remain for centuries to come. The city became a county corporate in 1447.
King Edward VI Grammar School was founded in the city near God's House Tower as a school for poor clergyman in 1553 by William Capon. Isaac Watts, one of its locally born alumni, wrote the words of the hymn O God Our Help In Ages Past, the melody of which forms the four-hourly peal of the Civic Centre clock chimes. King Edward's survives as a selective independent co-educational secondary school. The Watts memorial in the city's West Park - also known as the Watts Park - was unveiled in 1861.
The port was the original point of departure for the Pilgrim Fathers aboard the Mayflower in 1623. A memorial can be found on Town Quay. Since that time it has been the last port of call for literally millions of emigrants who left the Old World to start a new life in the USA, Australia , Canada , New Zealand , South Africa and other parts of the world.
The painter John Everett Millais was born in the city. Southampton Solent University's art gallery is named Millais Gallery in his honour.
In common with most of the luxury liners of the time, the RMS Titanic sailed from here, and it is still an important ocean liner port frequented by luxury ships such as the RMS QE2, the MV Oriana, and most recently the Queen Mary 2. A memorial to the engineers of the Titanic may be found in Andrews Park, on Above Bar Street. There is a memorial to the musicians who played on the Titanic just opposite the main memorial. Also, the Maritime museum in Wool Hall includes an exhibition related to the vessel. Most of Titanic's crew lived in Southampton; 549 Sotonians died in the sinking.
The city is home to Sir Edwin Lutyens' first permanent cenotaph, a memorial to the city's dead of World War I . When it was unveiled on 6 November 1920, it was 1800 names, later raised to 2008. It can be found in West (Watts) Park, opposite the Titanic memorial.
The Second World War hit Southampton particularly hard, partly because of its strategic importance as the major industrial area on the South Coast and partly because of the city's links to the Supermarine Spitfire fighter aircraft, which was invented and manufactured in Southampton. Pockets of Georgian architecture remain, but much of the city was levelled. The accuracy of the locally-based Ordnance Survey's maps did not go unrecognised by the Luftwaffe : the German bomber pilots used them to bomb Southampton. One notable building to survive the bombings was Southampton's oldest, St. Michaels Church. Thought to have been commenced in 1070 , the building has been added to many times over the centuries but its central tower dates from Norman times. The spire was an important navigation aid for the German pilots and consequently they were ordered to avoid it .
The Spitfire was developed and initially manufactured in the suburb of Woolston. Its designer, Reginald Mitchell, grew up in Stoke-on-Trent, then had a house in Russell Place in the suburb of Highfield near the university (now identified by a memorial plaque). The plane was a direct descendant of experimental aircraft built by Supermarine that competed in the Schneider Trophy in the 1930s. Supermarine was taken over by Vickers in 1928. Mitchell's short life is documented in the film The First of the Few. On Sept 24th 1940, the Woolston factory was bombed, killing 100 workers, though not damaging the factory. Two days later, the factory was heavily damaged by bombing, and thirty more workers died, which interrupted production of the Spitfire for many weeks at a critical time of the UK's survival.
There were many aircraft companies based around Hamble, to the east of the city, from the 1930s to 1950s, including Folland Aviation, started by Henry P Folland, the former chief designer of Gloster Aircraft. Folland was taken over by Hawker Siddeley in 1960, and later as British Aerospace, the factory built the Hawk and Harrier. The history of the area's contribution to aviation is celebrated at the Southampton Hall of Aviation, near Itchen Bridge, and opposite the erstwhile site of the Woolston Supermarine factory. BOAC had a flying boat base in the docks serving British colonial possessions in Africa and Asia in the 1930s and 1940s. It closed in 1950 when land based aircraft became dominant. Nearby, Calshot Spit was a base for the military flying boat services.
Southampton was one of the boroughs reformed by the Municipal Corporations Act 1835, and contained the parishes of All Saints, Holy Rood, St John, St Lawrence, St Mary, St Michael, and part of South Stoneham. The town became a county borough under the Local Government Act 1888. In 1894, under the Local Government Act 1894, the part of South Stoneham within the borough became the parish of Portswood, and in 1895 the parish of Shirley was added. In 1920, Bitterne, and part of the parishes of North Stoneham and South Stoneham were added. The area of the Itchen Urban District was added in 1925. In 1967 it took in part of the Nursling and Rownham parishes added. The boundaries have been largely unchanged since then, despite the loss of county borough status under the Local Government Act 1972, and subsequent regaining of unitary authority status with the Banham Review.
Southampton was awarded city status in 1964 by Letters Patent.
Economy
This is a chart of trend of regional gross value added of Southampton with Darwen at current basic prices published (pp.240-253) by Office for National Statistics with figures in millions of British Pounds Sterling.
Year
includes financial intermediation services indirectly measured
↑
Components may not sum to totals due to rounding
Southampton today
The dockyards on the River Test
Containers being loaded at the docks
The Ocean Village marina
Council tower blocks in Weston
In common with many British towns and cities, Southampton was heavily bombed during the Second World War. Many historic buildings were lost as a result, but the old city walls remain, as does the Bargate, formerly the main gateway to the city at the northern end of the walls (Southampton has England's second-longest stretch of surviving Medieval wall, the longest being in York ). The Bargate is often used as a symbol of the city, and is a prominent part of the city council's corporate identity. There are numerous large parks in the city centre. Most of Southampton's municipal services, including the library and the well-endowed art gallery are to be found in the Civic Centre.
The city is home to the University of Southampton, Southampton Solent University and West Quay shopping centre, which was the biggest city-centre shopping mall in Europe when it was opened. It is also the headquarters of Ordnance Survey, the UK's national mapping agency, and the location of the National Oceanography Centre, Southampton, the focus of Natural Environment Research Council-funded marine research. The Lloyd's Register Group has announced plans to move its London marine operations to a specially developed site at the University of Southampton. The local newspaper for the city is the Southern Daily Echo, a Newsquest publication.
Southampton has always been strongly connected with maritime history and developments. In particular, it is a primary port for cruise ships, its heyday being the first half of the 20th century , and in particular the inter-war years, when it handled almost half the passenger traffic of the UK . Today it remains home to many luxury liners, as well as being a very important container port.
The outstanding harbour means it is the principal port on the south coast, and one of the largest in the UK. Sailing is a popular sport here. Much of this is centred around the Ocean Village development, a local marina which includes one of the South Coast's major independent cinema complexes, Harbour Lights. From 1977 to 2001 the famous Whitbread Around the World Yacht Race (now known as the Volvo Ocean Race) started in Southampton
The area of Swaythling is home to Ford's Southampton Assembly Plant, where the majority of their Transit models are manufactured.
Southampton is named the 'Green City' as it is graced with many green spaces and parks. Standing in any area of Southampton, if you turn 360 degrees you will see at least one form of greenery. The largest green space is Southampton Common, parts of which are used to host the annual summer festivals, circuses and funfairs. The Common covers a larger area than Hyde Park in London and includes a Wildlife Centre on the former site of Southampton Zoo, a swimming pool and several lakes and ponds. The city also boasts the Southampton Sports Centre which is the focal point for the public's sporting and outdoor activities and includes an Alpine Centre, Theme Park and Athletics Centre used by professional athletes. As with most cities there are several council estates such as those in the Weston district.
Southampton Football Club (nicknamed the "Saints") is also based here, at St Mary's Stadium which was built in the early 2000's on the site of the old gasworks. It has a capacity of 32,000 and cost £32 Million to build. In 1976, "The Saints" won the FA Cup Final beating Manchester United 1-0. It was a Southampton team member, Charles William Miller, who founded Brazil 's first football club.
Hampshire 's county Cricket ground is the Rose Bowl, Southampton, in nearby West End. Both the SFC stadium and the Rose Bowl have recently played host to concerts from Bon Jovi to Billy Joel.
Southampton has a vibrant nightlife and thriving cafe culture. Music is an important aspect of the city and there are several stadiums and outlets for this. The city is home to R'n'B soulstar Craig David, Coldplay drummer Will Champion, and was the birthplace of comedian Benny Hill.
There is a large Polish population in Southampton, with estimates as high as 20,000, or 1 in every 10.
Government and politics
Formerly a County Borough within the county of Hampshire (to which it gave its name, the County of Southampton or Southamptonshire - this was officially changed to Hampshire in 1959 though the county had been commonly known as Hampshire or Hantshire for centuries), it became a non-metropolitan district in 1974. However, the city became independent administratively from that county as it was made into a unitary authority in a local government re-organisation on 1 April 1997. The district remains part of the Hampshire ceremonial county.
Southampton City Council consists of 48 councillors elected by thirds. After the 2006 local council elections on May 4, 2006 the Council is split evenly 16 seats each to the Liberal Democrats , Labour and the Conservative Party. Currently the council is run by the Liberal Democrats with Labour support.
There are three members of parliament for the city: Rt Hon John Denham ( Labour) for Southampton Itchen (constituency for the east of the city), Dr Alan Whitehead (Labour) for Southampton Test (the west of the city), and Sandra Gidley (Liberal Democrat) for Romsey (which includes a portion of the north of the city).
Transport
As befits Southampton's role as a major port, the city has good transport links with the rest of the country. The M27 motorway, linking places along the south coast of England, runs just to the north of the city. The M3 motorway links the city to London and also, by linking to the A34 road at Winchester with the Midlands and North. The M271 motorway links the M27 with the Western Docks and city centre.
Southampton is also well served by the rail network, used by both freight services to and from the docks, and passenger services as part of the national rail system. The main station in the city is Southampton Central. Routes run eastwards to Portsmouth and Brighton , north-east to Winchester and London , north to Reading, Birmingham and beyond, north-west to Salisbury, Bristol and Cardiff and west to Bournemouth, Poole and Weymouth . Southampton Coach Station was refurbished recently, and the range and frequency of services offered by the National Express Group increased to make use of the new facilities.
Southampton Airport is a regional airport located in the town of Eastleigh, just north of Southampton. It is connected to the city by a frequent rail service, and hosts flights to UK and near European destinations.
Whilst Southampton is no longer the base for any cross-channel ferries, it is the terminus for three internal ferry services, all of which operate from terminals at Town Quay. Two of these, a car ferry service and a fast catamaran passenger ferry service, provide links to Cowes on the Isle of Wight and are operated by Red Funnel. The third ferry is the Hythe Ferry, providing a passenger service to the town of Hythe on the other side of Southampton Water. Town Quay is linked to Southampton Central station by a free bus service.
Local transport is largely road based, with significant peak hour congestion in the city. The main bus operators are First, Solent Blue Line (who also operate the BlueStar service) and Uni-link, although other operators also run services into the city, including Stagecoach and Wilts and Dorset.There is also a door to door minibus service (Southampton Dial a Ride) for residents who cannot access public transport, this is funded by the City Council and operated by SCA Support Services. However, local train services do operate in the central, Southern and Eastern sections of the city, serving Swaythling, St. Denys, Millbrook, Redbridge, Bitterne, Sholing and Woolston.
The Uni-link bus service was commissioned by the University of Southampton to provide access to students who are studying at the university to all parts of the city. The buses run from early in the morning to midnight meeting demands of students who wish to get to the city during the day and leisure places in the evening.
Districts and suburbs
Map showing the districts and suburbs of Southampton. The city centre area is highlighted in red.
Within Southampton there are several districts and suburbs, including:
Bassett, Bassett Green, Bevois Valley, Bitterne, Bitterne Park, Bitterne Manor
Chartwell Green, Chilworth Coxford
Shirley, Sholing, St. Denys, St. Mary's, Swaythling
Thornhill, Townhill Park
| i don't know |
Marion Crane was the name of the leading female character of which famous film of The 1960’s ? | Psycho (1960) - IMDb
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A Phoenix secretary embezzles $40,000 from her employer's client, goes on the run, and checks into a remote motel run by a young man under the domination of his mother.
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Nominated for 4 Oscars. Another 5 wins & 9 nominations. See more awards »
Videos
A wheelchair-bound photographer spies on his neighbours from his apartment window and becomes convinced one of them has committed murder.
Director: Alfred Hitchcock
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Director: Stanley Kubrick
A hapless New York advertising executive is mistaken for a government agent by a group of foreign spies, and is pursued across the country while he looks for a way to survive.
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A criminal pleads insanity after getting into trouble again and once in the mental institution rebels against the oppressive nurse and rallies up the scared patients.
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A wealthy San Francisco socialite pursues a potential boyfriend to a small Northern California town that slowly takes a turn for the bizarre when birds of all kinds suddenly begin to attack people.
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In Casablanca, Morocco in December 1941, a cynical American expatriate meets a former lover, with unforeseen complications.
Director: Michael Curtiz
A young F.B.I. cadet must confide in an incarcerated and manipulative killer to receive his help on catching another serial killer who skins his victims.
Director: Jonathan Demme
Following the death of a publishing tycoon, news reporters scramble to discover the meaning of his final utterance.
Director: Orson Welles
1 2 3 4 5 6 7 8 9 10 8.3/10 X
In future Britain, Alex DeLarge, a charismatic and psycopath delinquent, who likes to practice crimes and ultra-violence with his gang, is jailed and volunteers for an experimental aversion therapy developed by the government in an effort to solve society's crime problem - but not all goes according to plan.
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An insane general triggers a path to nuclear holocaust that a war room full of politicians and generals frantically try to stop.
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A mentally unstable Vietnam War veteran works as a night-time taxi driver in New York City where the perceived decadence and sleaze feeds his urge for violent action, attempting to save a preadolescent prostitute in the process.
Director: Martin Scorsese
Edit
Storyline
Phoenix officeworker Marion Crane is fed up with the way life has treated her. She has to meet her lover Sam in lunch breaks and they cannot get married because Sam has to give most of his money away in alimony. One Friday Marion is trusted to bank $40,000 by her employer. Seeing the opportunity to take the money and start a new life, Marion leaves town and heads towards Sam's California store. Tired after the long drive and caught in a storm, she gets off the main highway and pulls into The Bates Motel. The motel is managed by a quiet young man called Norman who seems to be dominated by his mother. Written by Col Needham <[email protected]>
It Is _Required_ That You See Psycho From The Very Beginning! See more »
Genres:
8 September 1960 (USA) See more »
Also Known As:
Alfred Hitchcock's Psycho See more »
Filming Locations:
Did You Know?
Trivia
Janet Leigh received threatening letters after the film's release, detailing what they would like to do to Marion Crane. One was so grotesque she passed it on to the FBI. The culprits were discovered, and the FBI said she should notify them again if she ever received any more letters. See more »
Goofs
At the car dealership, the same extras (people on the sidewalks) are seen repeatedly, walking in different directions See more »
Quotes
Marion Crane : Do you have any vacancies?
Norman Bates : Oh, we have 12 vacancies. 12 cabins, 12 vacancies.
Opening credits prologue: PHOENIX, ARIZONA
FRIDAY, DECEMBER THE ELEVENTH
TWO FORTY-THREE P.M. See more »
Connections
(Corvallis, Oregon) – See all my reviews
When you look up the phrase "Horror Film" in the dictionary .. a picture of Janet Leigh screaming in a shower should appear next to it. Undoubtedly, Psycho is the greatest horror film ever made, bar-none. The story is incredible. The acting is near perfection. The cinematography is godly. The soundtrack is perfect. It's hard to find anything wrong with Psycho. Perhaps the only imperfection I can find with Psycho is the inability to stand the test of time. One of the reasons the shower scene has become so notorious is that it's not only filmed to perfection, but because the elements of sexuality and murder are so surreal. In 1960, seeing a nude women being murdered in a shower was something that no-one had experienced yet, and was quite shocking. Nowadays, seeing Jason double-spearing two lovers having sex is nothing uncommon. I envy those who experienced Psycho in 1960 in the theaters .. those experienced the full terror of Psycho.
Aside from this though, the movie is flawless. I won't even go into to how incredible the cinematography is. One thing I think people seem to forget about the movie is the incredible soundtrack. Sound is such an important element in movies and Psycho is undaunted when it comes to sound. The only other horror movie that even comes close to using sound with such perfection is Halloween (1978).
The movie is perfectly casted as well. Janet Leigh as the beautiful Marion Crane, Vera Miles as the concerned sister, Lila Crane, and of course the unforgettable performance from Anthony Perkins as the eerie yet charismatic Norman Bates.
I would recommend this movie to any horror movie film fanatic. I would especially recommend this movie to any horror movie fan not desensitized by Friday The 13th, Nightmare On Elm Street, or Scream .. if such a fan exists.
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| Psycho |
William F Lamb from the construction firm Shreve, Lamb and Harmon was the designer Of which famous construction that first opened in 1931 ? | Greatest Films of 1960
The Apartment (1960) , 125 minutes, D: Billy Wilder
A Best Picture-winner - a classic, caustically-witty, satirically cynical, melodramatic comedy about corporate politics - and a bitter-sweet romance. In a bid to get ahead, an ambitious, lowly, misguided and young insurance clerk C. C. Baxter (Jack Lemmon) generously lent out the keys to his NYC apartment to his company's higher-up, philandering executives for romantic, adulterous, extra-marital trysts, including to his callous married boss J. D. Sheldrake (Fred MacMurray). Baxter's own budding crush toward his building's elevator operator - melancholy, and vulnerable Fran Kubelik (Shirley MacLaine) turned ugly when he discovered he had been outsmarted - she was the latest conquest of his boss - and had attempted suicide in his apartment. Baxter's next-door, philosophizing doctor/neighbor Dr. Dreyfuss (Jack Kruschen) convinced Baxter to confront the craven ethics of his superiors - and he won the affections of Fran.
L'Avventura (1960, It./Fr.) (aka The Adventure), 145 minutes, D: Michelangelo Antonioni
The first part of a trilogy, followed by La Notte (1961, It./Fr.) (aka The Night) and L'Eclisse (1962, It./Fr.) (aka The Eclipse).
Black Sunday (1960, It.) (aka La Maschera del Demonio, or The Mask of Satan), 87 minutes, D: Mario Bava
Les Bonnes Femmes (1960, Fr./It.) (aka The Good Time Girls), 100 minutes, D: Claude Chabrol
Chabrol's film was one of the French New Wave (Nouvelle Vague) films of its time (although never released in the US), and set in Paris (although photographed as drab and dingy). The dark and cynical melodrama followed the exploits of four "good time girls," all shop-girl clerks in an electrical appliance store, as they sought love, excitement, freedom, and escape at nighttime. However, each one had very different aspirations in life. The four included carefree party-girl Jane (Bernadette Lafont), aspiring night-club singer Ginette (Stéphane Audran), and marriage-fixated/engaged and social-climbing Rita (Lucille Saint-Simon). The main protagonist, sweet, shy, demure and sensitive Jacqueline (Clotilde Joano), a hopeless and vulnerable romantic, was tragically drawn to a mysterious, black-leathered motorcyclist Andre (Mario David), who was stalking her. He was mistaken as her long-awaited Prince Charming and turned out to be her executioner.
A Bout De Souffle (1960, Fr.) (aka Breathless), 90 minutes, D: Jean-Luc Godard
BUtterfield 8 (1960), 109 minutes, D: Daniel Mann
La Dolce Vita (1960, It./Fr.) (aka The Sweet Life), 174 minutes, D: Federico Fellini
Elmer Gantry (1960) , 146 minutes, D: Richard Brooks
Eyes Without a Face (1960, Fr./It.) (aka Les Yeux Sans Visage), 88 minutes, D: Georges Franju
Inherit the Wind (1960) , 127 minutes, D: Stanley Kramer
This absorbing liberal "message" film portrayed the famous and dramatic courtroom Scopes "Monkey Trial" battle (in the sultry summer of 1925 in Dayton, Tennessee) between two famous lawyers (Clarence Darrow and William Jennings Bryan), who heatedly argued both sides of the case. The film starred two major Oscar-winning giants and veterans of the cinema with remarkable career-high performances - Spencer Tracy (as Darrow- Henry Drummond) and Fredric March (as Bryan - Matthew Harrison Brady) - who had never before acted together in a film. Film-maker Stanley Kramer both produced and directed this film that modified and slightly disguised the historical event by changing the names of the prototypical characters and making them fictional figures, and placing the action in fictional Hillsboro, Tennessee. Its story centered around the issue of evolution vs. creationism and the prosecution of 24 year-old Tennessee teacher John T. Scopes (in the film, Bert Cates played by Dick York) for violating state law by teaching Darwin's theories of evolution in public schools. [In fact, Scopes deliberately agreed to challenge the Tennessee legislature's statutes and become the test case for the American Civil Liberties Union (ACLU) by teaching theories that denied the Biblical story of the divine creation of man.] The film's title was taken from the Biblical book of Proverbs 11:29: "He that troubleth his own house shall inherit the wind." Kramer's film was also designed as a protest against the repressive thinking of the 50s McCarthy era. Much of the film's story (and dialogue), written into a screenplay by Nathan E. Douglas (Nedrick Young was the blacklisted screenwriter's real name) and Harold Jacob Smith, was based on the successful Broadway play (by Jerome Lawrence and Robert E. Lee) that first starred Paul Muni and Ed Begley. In the Tennessee town of Hillsboro, high school biology teacher Bertram Cates tested a state criminal statute that forbade the teaching of Darwin's theory of evolution. Three-time Presidential candidate and fundamentalist Matthew Brady was selected by the DA to prosecute the case. A media hoopla and hysterical frenzy was whipped up in the sweltering hot town by opposing forces. Cynical and sarcastic newspaper reporter E.K. Hornbeck (Gene Kelly cast against type) (portraying acid-penned writer/reporter H.L. Mencken) was behind the selection of notorious atheist Henry Drummond to defend the science teacher. At first, Drummond was frustrated by the trial, so he summoned Brady to the stand to interrogate him about his literal interpretations of the Bible. Through intense questioning, Brady was forced to admit that the Bible could be interpreted non-literally. Brady's admission opened the door to the idea that evolution was consistent with Biblical teaching. However, the conservative jury convicted Cates, but the Judge (Henry Morgan) (to avoid further controversy) fined Cates only $100. As Brady gave one final religious defense as everyone dispersed, he had a stroke, collapsed and died.
The Magnificent Seven (1960), 126 minutes, D: John Sturges
Never on Sunday (1960, Greece/US) (aka Pote tin Kyriaki), 91 minutes, D: Jules Dassin
Peeping Tom (1960, UK), 109 minutes, D: Michael Powell
Psycho (1960) , 109 minutes, D: Alfred Hitchcock
The greatest, most influential Hitchcock horror/thriller ever made and the progenitor of the modern Hollywood horror film, based on Robert Bloch's novel. A classic, low budget, manipulative, black and white tale that includes the most celebrated shower sequence ever made. Worried about marital prospects after a lunch tryst with her divorced lover (John Gavin), blonde real estate office secretary Marion Crane (Janet Leigh) embezzles $40,000 and flees, stopping at the secluded off-road Bates Motel, managed by a nervous, amateur taxidermist son named Norman (Anthony Perkins). The psychotic, disturbed "mother's boy" is dominated by his jealous 'mother', rumored to be in the Gothic house on the hillside behind the dilapidated, remote motel. The story includes the untimely, violent murder of the main protagonist early in the film, a cross-dressing transvestite murderer, insanity, a stuffed corpse, and Oedipal Freudian motivations.
Rocco and His Brothers (1960, It./Fr.) (aka Rocco e i Suoi Fratelli), 177 minutes, D: Luchino Visconti
Saturday Night and Sunday Morning (1960, UK), 90 minutes D: Karel Reisz
Shoot the Piano Player (1960, Fr.) (aka Tirez Sur le Pianiste, or Shoot the Pianist), 80 minutes, D: François Truffaut
Sons and Lovers (1960, UK), 103 minutes, D: Jack Cardiff
Spartacus (1960), 185 minutes, D: Stanley Kubrick
A somewhat dated, uneven historical costume (and sword and sandal) epic adapted by openly-credited, blacklisted screenwriter Dalton Trumbo (thereby breaking the abhorrent system) from left-leaning Howard Fast's 1952 fictionalized novel about a slave revolt in Rome between 73-71 BC. This is the story of Thracian Spartacus (Kirk Douglas), first introduced as a slave in the Libyan mines who is sold to slave trader Lentulus Batiatus (Peter Ustinov), and becomes under his training a skilled gladiator. He is forced, for pure entertainment's sake, to fight to the death and kill fellow gladiator/friend Draba (Woody Strode). Growing resentment forces Spartacus to kill his captor-owner and instigate a revolt among his fellow slaves. He moves from town to town in the countryside and recruits freedom-fighting slaves along the way, threatening Rome itself and fueling a power struggle and in-fighting between two influential figures in the ruling class: the philosophical Roman senator Gracchus (Charles Laughton) and the power-hungry Roman general Marcus Crassus (Laurence Olivier). Eventually, Spartacus' forces are overwhelmed, and he is captured and marched to Rome, with Crassus desirous of the sexual favors of his wife Varinia (Jean Simmons). During the film's production, there was a change of directors (from Anthony Mann (famous for El Cid (1961)) to Stanley Kubrick, who wasn't permitted his usual directorial freedom, resulting in a decidedly un-Kubrick-like film) and rampant ego clashes amongst the actors. Additionally, the Hayes Code removed, among other things, homosexual innuendo and various depictions of gore (such as severed limbs). The 1991 re-release of Spartacus restored much of what was cut from the film, including the notorious bathhouse scene featuring the sexual advances of Crassus toward slave servant-poet Antoninus (Curtis), with dialogue dubbed by Anthony Hopkins for the deceased Olivier: "Do you consider the eating of oysters to be moral and the eating of snails to be immoral?... My taste includes both snails and oysters." Although anachronistic in costuming and accents, and overly long with some 'wooden' acting, Spartacus remains one of the more beloved and intelligent gladiator films (and a model for Ridley Scott's Gladiator (2000)), with such memorably powerful scenes as the large scale battles with thousands of extras, and the famous climax with the moving "I am Spartacus!" scene when Spartacus is crucified under orders of Crassus along with hundreds of other slaves, and a disguised Varinia risks capture to show him his infant son.
The Sundowners (1960), 133 minutes, D: Fred Zinnemann
The Time Machine (1960), 103 minutes, D: George Pal
Two Women (1960, It./Fr.) (aka La Ciociara), 93/100 minutes, D: Vittorio De Sica
The Virgin Spring (1960, Swe.) (aka Jungfrukällan), 89 minutes, D: Ingmar Bergman
Set in medieval, 14th century Sweden. Wealthy and religious land-owning farmers Töre (Max von Sydow) and Märeta (Birgitta Valberg) have only one surviving child - innocent, vain, naive and virginal daughter Karin (Birgitta Pettersson). Her jealous step-sister, pregnant maid-servant Ingeri (Gunnel Lindblom), invokes a pagan curse upon Karin after praying to the Norse deity Odin. During a journey to the nearest village's church on the celebrated day of Our Lady of Virgins, Karin is assaulted by a group of goatherd brothers, two adults and an adolescent, and is ultimately raped and murdered. The crime is witnessed by Ingeri. The three find refuge at Töre's farm for food and shelter, where he learns of their deadly assault and avenges his daughter's murder. The same plot served as the basis for Wes Craven's horror film The Last House on the Left (1972).
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Written about in the Bible, what eleven letter word is used to describe the area of land That covers the region of South West Asia and lies nearly the full length of the Iran/Iraq border It declined in importance after Mongol invaders destroyed it’s extensive irrigation system In A D 1258 ? | Iraq facts, information, pictures | Encyclopedia.com articles about Iraq
Al-Jumhuriyah al-'Iraqiyah
CAPITAL: Baghdād
FLAG: The national flag is a tricolor of red, white, and black horizontal stripes, with three five-pointed stars in green in the center of the white stripe. In 1991 the phrase Allahu Akbar (" God is Great") was added in green Arabic script—Allahu to the right of the middle star and Akbar to the left of the middle star.
ANTHEM: Al-Salaam al-Jumhuri (Salute of the Republic).
MONETARY UNIT: The Iraqi dinar (id) is a paper currency of 1,000 fils. There are coins of 1, 5, 10, 25, 50, 100, and 250 fils, and notes of 250 and 500 fils and 1, 5, 10, 50, and 100 dinars. 1id = $0.00068 (or $1 = id1,475) as of 2005.
WEIGHTS AND MEASURES: The metric system is the legal standard, but weights and measures in general use vary, especially in domestic transactions. The unit of land is the dunam, which is equivalent to approximately 0.25 hectare (0.62 acre).
HOLIDAYS: New Year's Day, 1 January; Army Day, 6 January; 14th Ramadan Revolution Day, 8 February; Declaration of the Republic, 14 July; and Peaceful Revolution Day, 17 July. Muslim religious holidays include 'Id al-Fitr, 'Id al-'Adha', Milad an-Nabi, and Islamic New Year.
TIME: 3 pm = noon GMT.
LOCATION, SIZE, AND EXTENT
Present-day Iraq, comprising an area of 437,072 sq km (168,754 sq mi), corresponds roughly to the former Turkish provinces of Baghdād, Al Mawşil ( Mosul ), and Al Başrah ( Basra ). Comparatively, the area occupied by Iraq is slightly more than twice the size of the state of Idaho . It extends 984 km (611 mi) sse–nnw and 730 km (454 mi) ene–wsw. Iraq is bordered on the n by Turkey , on the e by Iran , on the se by the Persian Gulf and Kuwait , on the s by Saudi Arabia , on the w by Jordan , and on the nw by Syria , with a total land boundary length of 3,650 km (2,268 mi) and a coastline of 58 km (36 mi).
Iraq's capital city, Baghdād, is located in the east central part of the country.
TOPOGRAPHY
Iraq is divided into three distinct zones: the desert in the west and southwest; the plains; and the highlands in the northeast, which rise to 3,000 m (10,000 ft) or more. The desert is an upland region with altitudes of 600 to 900 m (2,000–3,000 ft) between Damascus in Syria and Ar-Rutbah in Iraq, but declines gently toward the Euphrates (Al-Furāt) River. The water supply comes from wells and wadis that at times carry torrential floods and that retain the winter rains.
Dominated by the river systems of the Tigris (Dijlah) and Euphrates (Al-Furāt), the plains area is composed of two regions divided by a ridge, some 75 m (250 ft) above the flood plain, between Ar Ramādi and a point south of Baghdād that marks the prehistoric coastline of the Persian Gulf. The lower valley, built up by the silt the two rivers carry, consists of marshland, crisscrossed by drainage channels. At Qarmat 'Ali, just above Al Başrah, the two rivers combine and form the Shatt al Arab, a broad waterway separating Iraq and Iran. The sources of the Euphrates and Tigris are in the Armenian Plateau. The Euphrates receives its main tributaries before entering Iraq, while the Tigris receives several streams on the eastern bank within the country.
CLIMATE
Under the influence of the monsoons, Iraq in summer has a constant northwesterly wind (shamal), while in winter a strong southeasterly air current (sharqi) develops. The intensely hot and dry summers last from May to October, and during the hottest time of the day—often reaching 49°c (120°f) in the shade—people take refuge in underground shelters. Winters, lasting from December to March, are damp and comparatively cold, with temperatures averaging about 10°c (50°f). Spring and autumn are brief transition periods. Normally, no rain falls from the end of May to the end of September. With annual rainfall of less than 38 cm (15 in), agriculture is dependent on irrigation.
FLORA AND FAUNA
In the lower regions of the Tigris (Dijlah) and Euphrates (Al-Furāt) and in the alluvial plains, papyrus, lotus, and tall reeds form a thick underbrush; willow, poplar, and alder trees abound. On the upper and middle Euphrates (Al-Furāt), the licorice bush yields a juice that is extracted for commercial purposes; another bush growing wild in the semiarid steppe or desert yields gum tragacanth for pharmaceutical use. In the higher Zagros Mountains grows the valonia oak, the bark of which is used for tanning leather. About 30 million date palms produce one of Iraq's most important exports.
Wild animals include the hyena, jackal, fox, gazelle, antelope, jerboa, mole, porcupine, desert hare, and bat. Beaver, wild ass, and ostrich are rare. Wild ducks, geese, and partridge are the game birds. Vultures, owls, and ravens live near the Euphrates. Falcons are trained for hunting. As of 2002, there were at least 81 species of mammals and 140 species of birds throughout the country.
ENVIRONMENT
Three major armed conflicts since 1980 have had a significant negative effect on the nation's environment. Chemical weapons deployed at various locations along the Iran-Iraq border during the 1980–88 war killed thousands of people. During the 1991 Gulf War, coalition forces initiated a massive air campaign that destroyed nuclear, biological, and chemical facilities, causing toxic agents to seep into the air, soil, and waterways. Electrical plants, oil facilities, and water and sewage treatment plants were heavily damaged in both the 1991 and 2003 conflicts, contributing increased levels of air, water, and soil pollution to an already distressed environment. Plus, the Iraqi government's tactic of setting oil fires to ward off coalition forces set a broad range of toxic chemicals into the air and threatened many of the marshland ecosystems of the Tigris (Dijlah)–Euphrates (Al-Furāt) river basin. Although the full environmental impact of the conflicts had not been assessed as of 2006, it was clear that the new Iraqi government was facing several challenges in restoring basic services of power, water, and sanitation to the population, as well as in addressing issues of environmental renewal.
In 2000, only about 1.8% of the total land area was forested. Desertification has long been a problem in the hot, dry climate. Salinization and soil erosion caused by river basin flooding has affected otherwise fertile agricultural lands. In 2003, there were no protected lands in the country. According to a 2006 report issued by the International Union for Conservation of Nature and Natural Resources (IUCN), threatened species included 9 types of mammals, 18 species of birds, 2 types of reptiles, 1 species of amphibian, 3 species of fish, and 2 species of invertebrates. Th reatened species include the black vulture, the imperial eagle, the wild goat, the striped hyena, and the sand cat. The Saudi gazelle has become extinct.
POPULATION
The population of Iraq in 2005 was estimated by the United Nations (UN) at 28,807,000, which placed it at number 39 in population among the 193 nations of the world. In 2005, approximately 3% of the population was over 65 years of age, with another 42% of the population under 15 years of age. There were 103 males for every 100 females in the country. According to the UN, the annual population rate of change for 2005–10 was expected to be 2.7%, a rate the government viewed as satisfactory. The projected population for the year 2025 was 44,664,000. The population density was 66 per sq km (170 per sq mi), with Mesopotamia the most densely populated region.
The UN estimated that 68% of the population lived in urban areas in 2005, and that urban areas were growing at an annual rate of 2.52%. The capital city, Baghdād, had a population of 5,620,000 in that year. Other major cities and their estimated populations included Arbil, 2,368,000, and Al Mawşil, 1,236,000.
MIGRATION
Immigration into Iraq was limited until the beginning of the 1970s. However, the rise in oil prices and the increase of oil exports, as well as extensive public and private spending in the mid-1970s, created a market for foreign labor. The result was a stream of foreign (mainly Egyptian) workers, whose number may have risen as high as 1,600,000 before the Gulf War. During the Iran–Iraq war, many Egyptians worked in the public sector, filling a gap left by civil servants, farmers, and other workers who were fighting at the front. A number of Iraqis, mainly from southern Iraq and influenced by family ties and higher wages, migrated to Saudi Arabia and Kuwait. To weaken local support in the north for Kurdish rebels, the government forced tens of thousands of Kurds to resettle in the south; in September 1987, a Western diplomat in Baghdād claimed that at least 500 Kurdish villages had been razed and 100,000 to 500,000 Kurds relocated.
In 1991 some 1.5 million Iraqis fled the country for Turkey or Iran to escape Saddam Hussein's increasingly repressive rule, but fewer than 100,000 remained abroad as of 2005. Most of the refugees were Kurds who later resettled in areas in Iraq not controlled by the government. In September and October of 1996, around 65,000 Iraqi Kurds fled to Iran due to internal fighting between the Iraqi Kurds.
As of 1999, the United Nations High Commissioner for Refugees (UNHCR) assisted 31,400 refugees in Iraq. Of these, some 19,000 were Iranian Kurds and 11,300 were Turkish Kurds. In 2004, Iraq had 241,403 refugees, 1,353 of these were asylum seekers and 193,990 returned refugees. Some 22,000 refugees were from the Occupied Palestinian Territory, 13,353 from Turkey, and 10,230 from Iran. Nearly 350,000 Iraqis were refugees themselves in 11 countries: 150,196 in Iran, 73,489 in Germany , and more than 23,000 each in Sweden and the United Kingdom . Iraq's asylum seekers in 2004 were from Iran. However, some 22,000 Iraqis sought asylum in 24 countries: 6,510 in Jordan, 5,351 in Sweden, 4,496 in Syria, some 2,000 each in Germany and the Netherlands , and over 1,000 each in Greece and Switzerland . Also in 2004, Iraq had 900,000 internally displaced persons.
In 2005, the net migration rate was estimated as zero migrants per 1,000 population.
ETHNIC GROUPS
Arabs constitute about 75–80% of the total population. The Kurds, an Islamic non-Arab people, are the largest and most important minority group, constituting about 15–20%. A seminomadic pastoral people, the Kurds live in the northeastern Zagros Mountains, mostly in isolated villages in the mountain valleys near Turkey and Iran. Kurdish opposition to Iraqi political dominance has occasioned violent clashes with government forces. Other minorities (5%) include Turkomans, living in the northeast; Yazidis, mostly in the Sinjar Mountains; Assyrians, mainly in the cities and northeastern rural areas; and Armenians.
LANGUAGES
Arabic is the national language and is the mother tongue of an estimated 79% of the population. Kurdish—the official language in Kurdish regions—or a dialect of it, is spoken by the Kurds and Yazidis. Aramaic , the ancient Syriac dialect, is retained by the Assyrians. The Turkomans speak a Turkic dialect. Armenian is also spoken.
RELIGIONS
Islam is the national religion of Iraq, adhered to by some 97% of the population. Though the interim constitution provided for freedom of religion, that right is restricted by the government. About 60–65% of Muslims belong to the Shia sect and 32–37% to the Sunni sect. Traditionally, the Shia majority has been governed and generally oppressed by members of the Sunni minority. There are also some syncretic Muslim groups, such as the Yazidis, who consider Satan a fallen angel who will one day be reconciled with God. They propitiate him in their rites and regard the Old and New Testaments, as well as the Koran (Quran), as sacred.
About 3% of the population are adherents to Christianity and other religions. The Assyrians (who are not descended from the ancient Assyrians) are Nestorians. In the 19th century, under the influence of Roman Catholic missions, Christian Chaldeans joined the Uniate churches, which are in communion with Rome ; their patriarch has his seat in Al Mawşil. The Sabaeans, or Mandaeans, are often called Christians of St. John, but their religious belief and their liturgy contain elements of many creeds, including some of pre-Christian Oriental origin. Since baptism is their main ritual, they always dwell near water and are concentrated on the riverbanks south of Baghdād. There are a small number of Jews .
TRANSPORTATION
Major cities, towns, and villages are connected by a modern network of highways and roads, which have made old caravan routes extinct. The city of Baghdād has been reshaped by the development of expressways through the city and by passes built since the 1970s. By 2002, Iraq had 45,550 km (28,304 mi) of roads, of which 38,400 km (23,861 mi) were paved. There were some 747,530 cars and 130,275 commercial vehicles in use as of 2003.
Railroads are owned and operated by the Iraqi State Railways Administration. A standard-gauge railroad connects Iraq with Jordan and Syria, and nearly all the old meter-gauge line connecting Arbil in the north with Al Başrah, by way of Kirkūk and Baghdād, has been replaced. In 2004, there were about 2,200 km (1,368 mi) of railway lines, all of it standard gauge.
Iraq had an estimated 111 airports in 2004, down from 150 in 2002. As of 2005, a total of 78 had paved runways, and there were 8 heliports. However, an unknown number of runways were damaged during the March–April 2003 war. Baghdād, Al Başrah, and Al Mawşil have international airports. Iraq Airways is the state-owned carrier; in the 1980s, its international flights landed only at night because of the Iraq-Iran war. The war also virtually closed Iraq's main port of Al Başrah and the new port of Umm Qasr on the Persian Gulf. Although Iraq had 5,275 km (3,281 mi) of inland waterways as of 2004, not all were navigable. Of those that were navigable, the Euphrates River (Al Furāt—2,815 km or 1,864 mi), the Tigris River (Dijlah—1,895 km or 1,178 mi) and the Th ird River (565 km or 351 mi) were the main waterways. In addition, the Shatt al Arab is usually navigable by maritime traffic for 130 km (81 mi). The Tigris and Euphrates have navigable sections for shallow-draft boats, and the Shatt al Al Başrah canal was navigable by shallow-draft craft before closing in 1991 because of the Gulf War. Expansion of Iraq's merchant marine, which totaled 1,470,000 gross registered tonnage (GRT) in 1980, was halted by the war with Iran and again by the Persian Gulf War. By 2005, the merchant marine totaled only 14 ships with 1,000 GRT or more, for a total capacity of 83,221 GRT.
HISTORY
Some of the earliest known human settlements have been found in present-day Iraq. Habitations, shrines, implements, and pottery found on various sites can be dated as early as the 5th millennium bc. Some sites bear names that are familiar from the Bible , which describes the region of the Tigris (Dijlah) and Euphrates (Al Furāt) rivers as the location of the Garden of Eden and the city of Ur as the birthplace of the patriarch Abraham. Scientific exploration and archaeological research have amplified the biblical accounts.
Recorded history in Mesopotamia (the ancient name of Iraq, particularly the area between the Tigris and Euphrates) begins with the Sumerians, who by the 4th millennium bc had established city-states. Records and accounts on clay tablets prove that they had a complex economic organization before 3200 bc. The reign of Sumer was challenged by King Sargon of Akkad (r.c.2350 bc); a Sumero-Akkadian culture continued in Erech (Tall al-Warka') and Ur (Tall al-Muqayyar) until it was superseded by the Amorites or Babylonians (about 1900 bc), with their capital at Babylon. The cultural height of Babylonian history is represented by Hammurabi (r.c.1792–c.1750 bc), who compiled a celebrated code of laws. After Babylon was destroyed by the Hittites about 1550 bc, the Hurrians established the Mitanni kingdom in the north for about 200 years, and the Kassites ruled for about 400 years in the south.
From Assur, their stronghold in the north, the Assyrians overran Mesopotamia about 1350 bc and established their capital at Nineveh (Ninawa). Assyrian supremacy was interrupted during the 11th and 10th centuries bc by the Aramaeans, whose language, Aramaic, became a common language in the eastern Mediterranean area in later times. Assyrian power was finally crushed by the Chaldeans or Neo-Babylonians, who, in alliance with the Medes in Persia , destroyed Nineveh in 612 bc. Nebuchadnezzar II (r.c.605–c.560 bc) rebuilt the city-state of Babylon, but it fell to the Persians, under Cyrus of the Achaemenid dynasty, in 539 bc. Under his son Cambyses II, the Persian Empire extended from the Oxus ( Amu Darya ) River to the Mediterranean, with its center in Mesopotamia. Its might, in turn, was challenged by the Greeks. Led by the Macedonian conqueror Alexander the Great, they defeated the Persians by 327 bc and penetrated deep into Persian lands. The Seleucids, Alexander's successors in Syria, Mesopotamia, and Persia, built their capital, Seleucia, on the Tigris, just south of Baghdād. They had to yield power to the Parthians, who conquered Mesopotamia in 138 bc.
The Arabs conquered Iraq in ad 637. For a century, under the "Orthodox" and the Umayyad caliphs, Iraq remained a province of the Islamic Empire, but the 'Abbasids (750–1258) made it the focus of their power. In their new capital, Baghdād, their most illustrious member, Harun al-Rashid (ar-Rashid, r.786–809), became, through the Arabian Nights, a legend for all time. Under Harun and his son Al-Ma'mun, Baghdād was the center of brilliant intellectual and cultural life. Two centuries later, the Seljuk vizier Nizam al-Mulk established the famous Nizamiyah University, one of whose professors was the philosopher Al-Ghazali (Ghazel, d.1111). A Mongol invasion in the early 13th century ended Iraq's flourishing economy and culture. In 1258, Genghis Khan's grandson Hulagu sacked Baghdād and destroyed the canal system on which the productivity of the region had depended. Timur, also known as Timur Lenk ("Timur the Lame") or Tamerlane, conquered Baghdād and Iraq in 1393. Meanwhile, the Ottoman Turks had established themselves in Asia Minor and, by capturing Cairo (1517), their sultans claimed legitimate succession to the caliphate. In 1534, Süleyman the Magnificent conquered Baghdād and, except for a short period of Persian control in the 17th century, Iraq remained an Ottoman province until World War I.
Late in 1914, the Ottoman Empire sided with the Central Powers, and a British expeditionary force landed in Iraq and occupied Al Başrah. The long campaign that followed ended in 1918, when the whole of Iraq fell under British military occupation. The collapse of the Ottoman Empire stimulated Iraqi hopes for freedom and independence, but in 1920, Iraq was declared a League of Nations mandate under UK administration. Riots and revolts led to the establishment of an Iraqi provisional government in October 1920. On 23 August 1921, Faisal I (Faysal), the son of Sharif Hussein (Husayn ibn-'Ali) of Mecca , became king of Iraq. In successive stages, the last of which was a treaty of preferential alliance with the United Kingdom (June 1930), Iraq gained independence in 1932 and was admitted to membership in the League of Nations.
Faisal died in 1933, and his son and successor, Ghazi, was killed in an accident in 1939. Until the accession to the throne of Faisal II, on attaining his majority in 1953, his uncle 'Abdul Ilah, Ghazi's cousin, acted as regent. On 14 July 1958, the army rebelled under the leadership of Gen. 'Abd al-Karim al-Qasim (Kassim). Faisal II, Crown Prince 'Abdul Ilah, and Prime Minister Nuri al-Sa'id (as-Sa'id) were killed. The monarchy was abolished, and a republic established. Iraq left the anticommunist Baghdād Pact, which the monarchy had joined in 1955. An agrarian reform law broke up the great landholdings of feudal leaders, and a new economic development program emphasized industrialization. In spite of some opposition from original supporters and political opponents, tribal uprisings, and several attempts at assassination, Qasim managed to remain the head of Iraq for four and a half years. On 9 February 1963, however, a military junta, led by Col. 'Abd as-Salam Muhammad 'Arif, overthrew his regime and executed Qasim.
Since 1961, Iraq's Kurdish minority has frequently opposed with violence attempts by Baghdād to impose authority over its regions. In an attempt to cope with this opposition, the Bakr government passed a constitutional amendment in July 1970 granting limited political, economic, and cultural autonomy to the Kurdish regions. But in March 1974, Kurdish insurgents, known as the Pesh Merga, again mounted a revolt, with Iranian military support. The Iraqi army countered with a major offensive. On 6 March 1975, Iraq and Iran concluded an agreement by which Iran renounced support for the Kurds and Iraq agreed to share sovereignty over the Shatt al Arab estuary. The new regime followed a policy based on neutralism and aimed to cooperate with Syria and Egypt and to improve relations with Turkey and Iran. These policies were continued after 'Arif was killed in an airplane crash in 1966 and was succeeded by his brother, 'Abd ar-Rahman 'Arif. Th is regime, however, was overthrown in July 1968, when Gen. (later Marshal) Ahmad Hasan al-Bakr, heading a section of the Ba'ath Party, staged a coup and established a new government with himself as president. In the 1970s, the Ba'ath regime focused increasingly on economic problems, nationalizing the petroleum industry in 1972–73 and allocating large sums for capital development. Bakr resigned in July 1979 and was followed as president by his chosen successor, Saddam Hussein (Husayn) al-Takriti.
Tensions between Iraq and Iran rose after the Iranian revolution of 1979 and the accession to power of Saddam Hussein. In September 1980, Iraq sought to take advantage of the turmoil in Iran by suddenly canceling the 1975 agreement and mounting a full-scale invasion. Iraqi soldiers seized key points in the Khuzistan region of southwestern Iran, captured the major southern city of Khorramshahr , and besieged Abadan, destroying its large oil refinery. The Iraqi army then took up defensive positions, a tactic that gave the demoralized Iranian forces time to regroup and launch a slow but successful counterattack that retook Khuzistan by May 1982. Iraq then sought peace and in June withdrew from Iranian areas it had occupied. Iran's response was to launch major offensives aimed at the oil port of Al Başrah. Entrenched in well-prepared positions on their own territory, Iraqi soldiers repelled the attacks, inflicting heavy losses, and the war ground to a stalemate, with tens of thousands of casualties on each side.
Attempts by the UN and by other Arab states to mediate the conflict were unsuccessful; in the later stages of the war, Iraq accepted but Iran regularly rejected proposals for a compromise peace. Although most Arab states supported Iraq, and the Gulf oil states helped finance Iraqi military equipment, the war had a destabilizing effect both on the national economy and on the ruling Ba'ath Party. France also aided Iraq with credits to buy advanced weapons (notably, Super Étendard fighters and Exocet missiles), and it provided the technology for Iraq to construct the Osirak nuclear reactor near Baghdād. (In June 1981, this installation was destroyed in a bombing raid by Israel, which claimed that the facility would be used to produce nuclear weapons, a charge Iraq denied.) Other Western countries provided supplies, financing, and intelligence to Iraq but denied the same to Iran.
In February 1986, the Iranians made their biggest gain in the war, crossing the Shatt al Arab and capturing Fao (Al-Faw) on the southernmost tip of land in Iraq. In early 1987, they seized several islands in the Shatt al Arab opposite Al Başrah. The war soon spread to Persian Gulf shipping, as both sides attacked oil tankers and ships transporting oil, goods, and arms to the belligerents or their supporters.
The war ended on 20 August 1988 after Iran accepted a UN cease-fire proposal on 18 July. Having suffered enormous casualties and physical damage plus a massive debt burden, Baghdād began the postwar process of reconstruction . Before and after the war, there were scores to settle, primarily against the Kurds, some of whom had helped Iran and were the victims of Iraqi poison gas attacks. Many border villages were demolished and their Kurdish populations relocated.
When Iraq's wartime allies seemed unwilling to ease financial terms or keep oil prices high and questioned Iraq's rearmament efforts, Saddam Hussein turned bitterly against them. Kuwait was the principal target. After threats and troop movements, Iraq reasserted its claim (which dated from the days of the monarchy) to that country and on 2 August 1990, invaded and occupied it. Saddam Hussein was unflinching in the face of various peace proposals, economic sanctions, and the threatening buildup of coalition forces led by the United States .
A devastating air war led by the United States began on 17 January 1991 followed by ground attack on 24 February. Iraq was defeated, but not occupied. Despite vast destruction and several hundred thousand casualties, Saddam's regime remained firmly in control. It moved to crush uprisings from the Shia in the south and Kurds in the north. To protect those minorities, the United States and its allies imposed no-fly zones that gave the Kurds virtually an independent state, but afforded much less defense for the rebellious Arabs in the south whose protecting marshes were being drained by Baghdād. There were several clashes between allied and Iraqi forces in both areas.
In 1996, in an effort to boost morale in Iraq and bolster its image abroad, Iraq conducted its first parliamentary elections since 1989. However, only candidates loyal to Saddam Hussein were allowed to run. A government screening committee reviewed and approved all 689 candidates, who either belonged to Hussein's Ba'ath Party or were independents that supported the 1968 coup that brought the party to power.
The Iraqi economy continued to decline throughout the 1990s, with the continuation of the UN sanctions, imposed in 1990, which prohibited Iraq from selling oil on the global market in major transactions and froze Iraqi assets overseas. The deteriorating living conditions imposed on the Iraqi population prompted consideration of emergency measures. In 1996 talks were held between Iraq and the United Nations on a proposed "oil for food" humanitarian program that would permit Iraq to sell a limited quantity of oil in order to purchase food and basic supplies for Iraqi citizens. The United States and Britain wanted money earmarked for Iraq's Kurdish provinces funneled through the existing United Nations assistance program there. They also raised the issue of equity with respect to Iraq's existing rationing system. In December 1996, the UN agreed to allow Iraq to export $2 billion in oil to buy food and medical supplies. Iraq began receiving 400,000 tons of wheat in the spring of 1997.
Since the end of the Gulf War, Iraq had demonstrated cooperation with UNSCOM, the special UN commission charged with monitoring weapons of mass destruction. However, Saddam Hussein refused to dismantle his country's biological weapons and had stopped cooperating with UNSCOM by August 1997, leading to increasing tension and a US military buildup in the region by early 1998. Personal intervention by UN Secretary General Kofi Annan helped diffuse the situation temporarily. However, renewed disagreements arose in the latter half of the year, ultimately leading to a December bombing campaign (Operation Desert Fox) by US and UK forces, with the goal of crippling Iraq's weapons capabilities. In late 1998 the US Congress also approved funding for Iraqi opposition groups, in hopes of toppling Saddam Hussein politically from within.
In 1999 the oil for food program was expanded to allow for the sale of $5.25 billion in oil by Iraq over a six-month period to buy goods and medicine. By 2000, most observers agreed that the decade-long UN sanctions, while impoverishing Iraq and threatening its population with a major humanitarian crisis, had failed in their goal of weakening Saddam's hold on power.
The situation in Iraq intensified in 2002. In his January 2002 State of the Union Address, US president George W. Bush labeled Iraq, along with Iran and North Korea, part of an "axis of evil"—states that threatened the world with weapons of mass destruction and sponsored terrorism. Throughout 2002, the United States, in partnership with the United Kingdom, brought the issue of the need to disarm the Iraqi regime of weapons of mass destruction (WMD) to the forefront of international attention. On 8 November 2002, the UN Security Council unanimously approved Resolution 1441, calling upon Iraq to disarm itself of all biological, chemical, and nuclear weapons and weapons capabilities, to allow for the immediate return of UN and International Atomic Energy Agency (IAEA) weapons inspectors (they had been expelled from the country in 1998), and to comply with all previous UN resolutions regarding the country since the end of the Gulf War in 1991. UN and IAEA weapons inspectors returned to Iraq, but the United States and the United Kingdom were neither satisfied with their progress nor with Iraq's compliance with the inspectors. The United States and the United Kingdom began a military buildup in the Persian Gulf region (eventually 250,000 US and 45,000 British troops would be stationed there), and pressed the UN Security Council to issue another resolution authorizing the use of force to disarm the Iraqi regime. This move was met by stiff opposition from France, Germany, and Russia (all members of the Security Council at the time, with France and Russia being permanent members with veto power); the diplomatic impasse ended on 17 March 2003, when the United States, the United Kingdom, and Spain withdrew from the Security Council the resolution they had submitted that February that would have authorized the use of military force. War began on 19 March 2003, and by early April, the Iraqi regime had fallen.
The postwar period proved to be a diffi cult one for the United States and the United Kingdom, as their troops attempted to prevent looting and violence, to disarm Iraqis, and to begin the process of reconstruction. Especially contentious was the issue of the formation of a new Iraqi government: Iraqi exiles returned to the country, attempting to take up positions of power; Kurds demanded representation in a new political structure; and Shias (who make up some 60% of the Iraqi population) agitated for recognition and power. The United States initially installed retired US Army Lt. Gen. Jay Garner as head of the Office of Reconstruction and Humanitarian Assistance to oversee Iraq's civil administration while a new government was to be installed. Garner was replaced by former US State Deparment official L. Paul Bremer III in May 2003 in what some called an effort to put a civilian face on the reconstruction effort. Many Iraqi political figures in June labeled the allied campaign to remove the Saddam Hussein regime more like an "occupation" than a "liberation," and called for elections to a national assembly that would produce a new constitution for the country.
On 13 December 2003, Saddam Hussein was found alive hiding in a hole 2.5-m (8-ft) deep near his hometown of Tikrit. He was taken into custody, and beginning in October 2005, was put on trial for the killing of 143 Shias from Dujail, in retaliation for a failed assassination attempt in 1982.
In June 2004, the United States disbanded the Coalition Provisional Authority led by Bremer and transferred sovereignty back to Iraq in the form of an interim government, headed by Prime Minister Iyad Allawi. On 30 January 2005, Iraqi voters elected a 275-member Transnational National Assembly. The Assembly was given the tasks of serving as Iraq's national legislature and forming a constitution. In April 2005, the National Assembly appointed Jalal Talabani, a prominent Kurdish leader, president. Ibrahim al-Jaafari, a Shia, whose United Iraq Alliance Party won the most votes in the January elections, was named prime minister. A constitution was written and presented to the people in a national referendum held on 15 October 2005: more than 63% of eligible voters turned out to vote. The constitution passed with a 78% majority, although three provinces voted against it, two of them by a two-thirds majority. Under election rules, had two-thirds of voters in each of the three provinces voted against the constitution, it would have failed. The vote was sharply divided along ethnic and sectarian lines: Shias and Kurds generally supported the document. As it was, the constitution was largely drafted by Shias and Kurds, who together make up some 80% of the population. The Iraqi insurgency is largely composed of Sunni Arabs.
On 15 December 2005, the country turned out in new parliamentary elections to elect a permanent government. Turnout was high; 10.9 million out of 15.6 million registered voters cast ballots across the country. Some fraud was detected, but in general the elections were held in a free and democratic manner. Official results were announced in January 2006, showing that the Shia and Kurdish coalitions once again dominated the voting, although they came up short of the two-thirds majority needed to form a government of their own. Sunni Arab parties won 58 of the 275 seats, which was the second-largest bloc of seats, giving them a much larger voice than they had in the January 2005 elections. In all, four main coalitions won 250 of the 275 seats in the parliament, which was elected for a term lasting until 2009. Of the remaining 25 seats, most were won by smaller groups with ideological or geographic links to the winning coalitions. The United Iraqi Alliance, the alliance of the main Shia parties, took 128 seats. The Kurdistan Alliance, an alliance of the primary Kurdish parties, won 53 seats. The Iraqi Consensus Front, an alliance of predominantly Sunni parties, took 44 seats, and the Iraqi List, an alliance of the main secular parties, won 25 seats.
Although the election held the fragile promise of a stable government, by the end of February 2006, sectarian violence had reached new levels. On 22 February 2006, Sunni insurgents bombed the important Shia Askariya Shrine in Sunni-dominated Sāmarrā; the shrine's gold dome was reduced to rubble by explosives. Th ousands of Shias took to the streets in both peaceful demonstrations and retaliatory attacks: the sectarian violence that ensued left at least 138 people dead in two days, and political negotiations over the new government in ruins. Civil war was not an unthinkable future for Iraq as of mid-2006.
GOVERNMENT
The coup d'état of 14 July 1958 established an autocratic regime headed by the military. Until his execution in February 1963, 'Abd al-Karim al-Qasim ruled Iraq, with a council of state and a cabinet. On 27 July 1958, a fortnight after taking over, Qasim's regime issued a provisional constitution, which has been repeatedly amended to accommodate changes in the status of the Kurdish regions. Since the 1968 coup, the Ba'ath Party ruled Iraq by means of the Revolutionary Command Council, "the supreme governing body of the state," which selected the president and a cabinet composed of military and civilian leaders. The president (Saddam Hussein from 1979–2003) served as chairman of the Revolutionary Command Council, which exercised both executive and legislative powers by decree. He was also prime minister, commander-in-chief of the armed forces, and secretary-general of the Ba'ath Party. A national assembly of 250 members that was elected by universal suffrage in 1980, 1984, 1989, 1996, and 2000, had little real power. Most senior officials were relatives or close associates of Saddam Hussein; nevertheless, their job security was not great.
The precarious nature of working in the regime of Saddam Hussein, even for relatives, was made evident in 1995 when two of his sons-in-law defected to Jordan along with President Hussein's daughters. The defection was widely reported in the international media and considered a great embarrassment to the regime as well as a strong indicator of how brutal and repressive its machinations were. After a promise of amnesty was delivered to the defectors by Iraq, the men returned and were executed shortly after crossing the border into Iraq.
In the aftermath of the Iraq war which began in March 2003, Iraq was effectively ruled by the US-installed Office of Reconstruction and Humanitarian Assistance, and then by a Coalition Provisional Authority. In December 2003, Saddam Hussein was captured and brought into US custody; beginning in October 2005, he went on trial for the killing of 143 Shias from Dujail. In June 2004, sovereignty was transferred back to Iraq and an interim Iraqi government was installed, led by Prime Minister Iyad Allawi. On 30 January 2005, Iraqi voters elected a 275-member Transnational National Assembly. In April 2005, the National Assembly appointed Jalal Talabani, a prominent Kurdish leader, president. Ibrahim al-Jaafari, a Shia, was named prime minister. A constitution was written and presented to the people in a national referendum held on 15 October 2005: more than 63% of eligible voters turned out to vote. The constitution passed with a 78% majority.
Under the 2005 constitution, the government is broken down into four branches: legislative, executive, judicial, and independent associations. In the legislative branch, two councils were created: a Council of Representatives, the main law-making body, and the Council of Union, whose primary task is to examine bills related to regions and provinces. The executive branch is composed of a president, who is not directly elected and whose powers are primarily ceremonial; a deputy president; a prime minister, who as head of government is appointed by the president from the leader of the majority party in the Council of Representatives; and a cabinet chosen by the prime minister. The judiciary is independent and composed of the following: a Supreme Judiciary Council; a Supreme Federal Court; a Federal Cassation Court; a Prosecutor's Office; a Judiciary Inspection Dept.; and other federal courts organized by law. The "fourth branch" is that of independent associations whose actions are subject to legislation and supervision by the other branches. They include: a Supreme Commission for Human Rights; a Supreme Independent Commission for Elections; an Integrity Agency; an Iraqi Central Bank; a Financial Inspection Office; a Media and Communications Agency; Offices of (religious) Endowments; Institution of the Martyrs; and the Federal Public Service Council.
On 15 December 2005, new parliamentary elections were held to elect a permanent government. Sunni Arab parties won 58 of the 275 seats in the Council of Representatives, which was the second-largest bloc of seats. In all, four main coalitions won 250 of the 275 seats in the parliament, which will lead the country until 2009. Of the remaining 25 seats, most were won by smaller groups with ideological or geographic links to the winning coalitions. The United Iraqi Alliance, the alliance of the main Shia parties, took 128 seats. The Kurdistan Alliance, an alliance of the primary Kurdish parties, won 53 seats. The Iraqi Consensus Front, an alliance of predominantly Sunni parties, took 44 seats, and the Iraqi List, an alliance of the main secular parties, won 25 seats.
POLITICAL PARTIES
Until 1945, political parties existed but were ineffective as political factors. In 1946, five new parties were founded, including one that was Socialist (Al-Hizb al-Watani al-Dimuqrati, or the National Democratic Party), one avowedly close to communism (AshSha'b, or the People's Party), and one purely reformist (Al-Ittihad al-Watani, or the National Union Party).
The response to these parties alarmed the conservative politicians. The Palestine War (1948) provided the pretext for suppression of the Sha'b and Ittihad parties. Only the National Democratic Party functioned uninterruptedly; in 1950, with the lifting of martial law, the others resumed work. In 1949, Nuri as-Sa'id founded the Constitutional Union Party (Al-Ittihad ad-Dusturi), with a pro-Western, liberal reform program to attract both the old and the young generations. In opposition, Salih Jabr, a former partisan of Nuri's turned rival, founded the Nation's Socialist Party (Al-Ummah al-Ishtiraki), which advocated a democratic and nationalistic, pro-Western and pan-Arab policy. In 1954, however, Sa'id dissolved all parties, including his own Constitutional Union Party, on the ground that they had resorted to violence during the elections of that year.
After the coup of 1958, parties "voluntarily" discontinued their activities. In January 1960, Premier Qasim issued a new law allowing political parties to operate again. Meanwhile, the Ba'athists, who first gained strength in Syria in the 1950s as a pan-Arab movement with strong nationalist and socialist leanings, had attracted a following among elements of the Syrian military. In February 1963, Qasim was overthrown and executed by officers affiliated with a conservative wing of Iraq's Ba'ath movement. In November, a second coup was attempted by Ba'athist extremists from the left, who acted with complicity of the ruling Syrian wing of the party. With the 1968 coup, rightist elements of the Ba'ath Party were installed in prominent positions by Gen. Bakr. Since then, the Ba'athists, organized as the Arab Ba'ath Socialist Party, were the ruling political group in Iraq. In the national assembly elections of 1980, the Ba'athists won more than 75% of the seats at stake; in the 1984 elections, they won 73% of the seats. Elections were again held in March 1996, with only Ba'athists or independent supporters of Saddam Hussein allowed to run for seats in the Assembly. Altogether, 220 seats were contested by 689 candidates. Only Ba'ath Party members and supporters of the Saddam Hussein regime were allowed to run in the March 2000 elections as well. In the 1990s and into the mid-2000s, most real party activity in Iraq involved the country's Kurdish minority, which had established a number of political groups, most of them in opposition to the central government.
In 1991, the regime issued a decree theoretically allowing the formation of other political parties, but which in fact prohibited parties not supportive of the regime. Under the 1991 edict, all political parties had to be based in Baghdād and all were prohibited from having ethnic or religious affiliations.
Outside of Iraq, ethnic, religious and political opposition groups came together to organize a common front against Saddam Hussein, but they achieved very little until 2003. The Shia al Dawa Party was brutally suppressed by Saddam before the Iran-Iraq war.
In the aftermath of the 2003 war, certain Shia clerics, including Grand Ayatollah Ali al-Sistani and Ayatollah Muhammad Bakr al-Hakim, emerged as political and religious leaders for the Shia community. In August 2003, al-Hakim was killed in a car bomb attack along with dozens of followers in the holy city of Najaf.
The two main Kurdish political parties as of 2003 were the Kurdistan Democratic Party (KDP), led by Massoud Barzani, and the Patriotic Union of Kurdistan (PUK), led by Jalal Talabani. Long rivals, the two parties were called upon to reconcile differences so as to provide for a viable future for Iraq's Kurds. The Iraqi National Congress, based in Salahuddin in northern Iraq and in London, was led by Ahmad Chalabi.
In the parliamentary elections for a permanent government that were held on 15 December 2005, four main coalitions won 250 of the 275 seats in the parliament. The United Iraqi Alliance, the alliance of the main Shia parties, took 128 seats. The Kurdistan Alliance, an alliance of the primary Kurdish parties, won 53 seats. The Iraqi Consensus Front, an alliance of predominantly Sunni parties, took 44 seats, and the Iraqi List, an alliance of the main secular parties, won 25 seats. The remaining 25 seats were held by smaller groups with ideological or geographic links to the winning coalitions.
LOCAL GOVERNMENT
Iraq until 2003 was divided into 18 provinces (three of which formed an autonomous Kurdish region), each headed by an appointed governor. Provinces were subdivided into districts, each under a deputy governor; a district consists of counties, the smallest units, each under a director. Towns and cities were administered by municipal councils led by mayors. Baghdād's municipality, the "governorate of the capital," under its mayor, or "guardian of the capital," served as a model municipality. A settlement reached with the Kurds in 1970 provided for Kurdish autonomy on the local level. In 1974, the provisional constitution was further amended to provide the Kurdistan region with an elected 80-member legislative council; elections were held in 1980 and 1986, but, in fact, the Iraqi army controlled Kurdistan until the imposition of a UN-approved protected zone in the north at the end of the Gulf War. In May 1992, Kurds held elections there for a new 100-member parliament for the quasi-independent region. This marked the only relatively free elections held in Iraq in several decades.
Local governing authority broke down following the fall of the Iraqi regime in April 2003. US and British troops were responsible for policing the country, and for restoring electricity, running water, sanitation, and other essential services. By 2006, however, sectarian violence was worsening, and the country looked as if it might be on the path to civil war.
Under the 2005 constitution, Iraq's federal system is made up of the capital of Baghdād, regions, decentralized provinces, and local administrations. The country's future regions are to be established from its current 18 governorates (provinces). Any single province, or group of provinces, is entitled to request that it be recognized as a region, with such a request being made by either two-thirds of the members of the provincial councils in the provinces involved or by one-tenth of the registered voters in the province(s) in question. Provinces that are unwilling or unable to join a region still enjoy enough autonomy and resources to enable them to manage their own internal affairs according to the principle of administratative decentralization. With the two parties' approval, federal government responsibilities may be delegated to the provinces, or vice versa. These decentralized provinces are headed by Provincial Governors, elected by Provincial Councils. The administrative levels within a province are defined, in descending order, as districts, counties and villages.
JUDICIAL SYSTEM
The court system until 2003 was made up of two distinct branches: a security component and a more conventional court system to handle other charges. There was no independence in the operation of the judiciary; the president could override any court decision.
The security courts had jurisdiction in all cases involving espionage, treason, political dissent, smuggling and currency exchange violations, and drug trafficking. The ordinary civil courts had jurisdiction over civil, commercial, and criminal cases except for those that fell under the jurisdiction of the religious courts. Courts of general jurisdiction were established at governorate headquarters and in the principal districts.
Magistrates' courts tried criminal cases in the first instance, but they could not try cases involving punishment of more than seven years in prison. Such cases were tried in courts of sessions that were also appellate instances for magistrates' courts. Each judicial district had courts of sessions presided over by a bench of three judges. There were no jury trials. Special courts to try national security cases were set up in 1965; verdicts of these courts could be appealed to the military supreme court. In other cases, the highest court of appeal was the court of cassation in Baghdād, with civil and criminal divisions. It was composed of at least 15 judges, including a president and two vice presidents.
For every court of first instance, there was a Shariah (Islamic) court that ruled on questions involving religious matters and personal status. Trials were public and defendants were entitled to free counsel in the case of indigents. The government protected certain groups from prosecution. A 1992 decree granted immunity from prosecution to members of the Ba'ath Party. A 1990 decree granted immunity to men who killed their mothers, daughters, and other female family members who had committed "immoral deeds" such as adultery and fornication.
Under the constitution ratified in 2005, the judiciary is independent and composed of the following: a Supreme Judiciary Council; a Supreme Federal Court; a Federal Cassation Court; a Prosecutor's Office; a Judiciary Inspection Dept.; and other federal courts organized by law. The Supreme Judiciary Council administers the judicial branch, nominates members of the courts and departments, and presents the judicial budget to the legislature. The Supreme Federal Court is the highest court in Iraq, oversees election results, and rules in the case of accusations against the president or prime minister. Private courts are banned.
ARMED FORCES
The Iraqi security forces in 2005 had 179,800 active personnel. The Army, including the National Guard, had an estimated 79,000 active personnel, followed by the Navy with an estimated 700 personnel and the Air Wing, which had an estimated 200 active members. In addition to the military forces, Iraq's security forces included an estimated 32,900 Ministry of Interior Forces and 67,000 active members of the Iraqi Police Service. Major naval units consisted of 10 patrol/coastal vessels operated by the Iraqi Coastal Defense Force. The Iraqi Air Wing was under the Department of Border Enforcement, and was equipped with 16 reconnaissance and six transport fixed wing aircraft, plus 36 support and 20 utility helicopters. As of 2005, there was no data available on defense spending by Iraq.
INTERNATIONAL COOPERATION
Iraq is a charter member of the United Nations, having joined on 21 December 1945, and participates in ESCWA and several nonregional specialized agencies. A founding member of the Arab League, Iraq also participates in the Arab fund for Economic and Social Development, the Arab Bank for Economic Development in Africa, the Arab Monetary Fund, the Council of Arab Economic Unity, Organization of the Islamic Conference (OIC), G-19, G-77, OAPEC, and OPEC. Iraq holds observer status in the WTO.
Iraq has given both military and economic support to Arab parties in the conflict with Israel. The war with Iran preoccupied Iraq during the 1980s, and Iraq's relations with other countries in the Arab world have varied. During the 1980s, Iraq maintained friendly relations with some Western countries, notably France, a major arms supplier to Iraq.
In November 1984, diplomatic relations between Iraq and the United States were renewed after a break of 17 years, but were broken off again when Iraq invaded Kuwait in August of 1990. The United States and its allies launched an air war against Iraq after diplomatic efforts and economic sanctions failed to convince Iraq to leave Kuwait. Iraq's international standing deteriorated badly and the nation was placed under an international trade embargo. Iraq was attacked by US and British forces beginning on 19 March 2003, and the regime led by Saddam Hussein was defeated by those forces that April. In the postwar period, the country is undergoing reconstruction and the government is in transition. A Transitional National Assembly (TNA) was formed by direct democratic elections held on 30 January 2005. On 15 December 2005, a permanent 275-seat Council of Representatives was elected.
Iraq is a member of the Nonaligned Movement. In environmental cooperation, Iraq is part of the Nuclear Test Ban Treaty and the UN Convention on the Law of the Sea.
ECONOMY
In 1973, Iraqi oil revenue was $1.8 billion. By 1978, oil revenues peaked at $23.6 billion. In 2002, oil revenues were estimated at about $15 billion. Oil production growth was forecast to be constrained by security problems and long-standing underinvestment over the period 2006–07, but modest increases in output were expected to improve real GDP growth.
GDP growth was in double digits from 1973 to 1980 with the exception of 1974, when it was 7.2%. It was from these lofty heights that the regime of Saddam Hussein launched two wars whose effects on the Iraqi economy, even aside from the tragic human costs, proved devastating. The Iraq-Iran War (1980–88) began with Iraq's attempt to seize control of the economically and strategically important Shatt al Arab from Iran, which the countries had agreed to divide in a treaty in 1975. Saddam miscalculated that Iran could be easily dismembered during its revolutionary upheavals, and when the war ended eight bloody years later, the Shatt al Arab and all other border issues returned to the status quo antebellum, leaving Iraq with no material gain and a debt of over $100 billion, much of it owed to Kuwait. Annual oil revenues for Iraq and Kuwait were roughly even—averaging about $16 billion a year—but Kuwait, instead of spending on armaments, had invested sizeable amounts in the West, essentially doubling its returns. Kuwait refused to see the debts owed it by Iraq as money spent for its own defense, and insisted on being repaid, providing the economic trigger for Iraq's second disastrous foray—the invasion of Kuwait on 2 August 1990. For the first time the UN Security Council agreed to support collective action against an aggressive power and Iraqi forces were driven out of Kuwait in the first Gulf War in February 1991. The UN imposed comprehensive economic, financial, and military sanctions, placing the Iraqi economy under siege. Acting on its own, the United States also froze all Iraqi assets in the United States and barred all economic transactions between US citizens and Iraq. Many other countries imposed similar sanctions on top of the UN-imposed embargo. UN Security Council resolutions authorized the export of Iraqi crude oil worth up to $1.6 billion over a limited time to finance humanitarian imports for the Iraqi people.
The effect of war in Kuwait and continuing economic sanctions reduced real GDP by at least 75% in 1991, on the basis of an 85% decline in oil production, and the destruction of the industrial and service sectors of the economy. Living standards deteriorated and the inflation rate reached 8,000% in 1992. Estimates for 1993 indicated that unemployment hovered around 50% and that inflation was as high as 1,000%. Because UN costs and reparations for Kuwait were taken out of permitted oil sales before being handed over to the Iraqi regime, the government's revenues were lower than total oil sales. The Organization of Arab Petroleum Exporting Countries (OAPEC) reported that Iraqi oil revenues at current prices were $365 million in 1994, $370 million in 1995 and $680 million in 1996. After the first Gulf War Iraq refused to provide economic data to the UN or any other international organization, and all estimates therefore were subject to wide variability and questions of reliability. Uncertainty was increased by a flourishing black market that was responsible for an increasing share of domestic commerce. There were widespread expectations that the Hussein regime would soon fall from the weight of its disastrous political and economic miscalculations, but this did not happen, and by 1995 it had become apparent that the tight restrictions on oil sales were resulting in serious harm to the Iraqi people. The UN passed its first oil-for-food program (which the Iraqi regime refused to accept until 1996) allowing oil worth $5.26 billion to be sold every six months, with strict controls over how the money was spent. OAPEC reported that Iraqi oil revenues were about $4.6 billion in 1997 and $6.8 billion in 1998. In December 1999 the UN Security Council lifted the limits on Iraq's oil production, which then rose from 550,000 billion barrels per day (bbl/d) in November 1996 to an average of about 2.6 million bbl/d during 2000. Real GDP growth fell by 5.7% in 2001 due to the slowdown in the world economy and lower oil prices.
By 2002, crude exports from Iraq had fallen below normal capacity (about 2 million bbl/d) to an average of 630,000 bbl/d. According to UN assessments, this low export level created a $2.64 billion shortfall in the oil-for-food program. Low exports were blamed on illegal surcharges of about 15–45 cents per barrel being levied by Iraq from about December 2000, and the tactic of "retroactive pricing" adopted by the United States and the United Kingdom in January 2001 to combat these surcharges. Both the surcharges and the retroactive pricing—whereby the price charged for Iraqi oil was revealed only after the sale, and then set at a level too high for a surcharge to be paid and still make a profit—raised the price and reduced demand for Iraqi oil. The concerns by the United States and the United Kingdom were that the surcharges were being used to fund a secret military build-up by Iraq. UN estimates are that from 1996 to 2002 the "oil-for-food" program generated about $60 billion. The US government estimates that through smuggling and illegal surcharges the Iraqi government secured about $6.6 billion from 1997 to 2001. On 14 May 2002, after Iraq had resumed oil exports, the UN Security Council approved a change in the oil-for-food program to add an extensive list of "dual-use" goods (goods that could be used for military as well as nonmilitary purposes) that Iraq could not purchase with its oil revenues.
On 16 October 2002, US president George W. Bush signed a resolution passed by the US Congress authorizing the use of force in Iraq. On 8 November 2002 the UN Security Council unanimously adopted Resolution 1441 demanding UN arms inspectors be given unconditional access to search anywhere in Iraq for banned weapons, and requiring a "accurate, full and complete" accounting of all of its weapons of mass destruction within 30 days. After failure to secure a second resolution from the UN Security Council in February 2003 explicitly supporting a military invasion of Iraq—all members of the Council were opposed except the United Kingdom—the United States and United Kingdom held to their intention to act without the UN. The US-led attack on Iraq was launched on 19 March 2003. Baghdād fell on 9 April 2003, and President Bush announced the end of major combat operations on 1 May 2003.
Sanctions against Iraq were lifted in May 2003, allowing reconstruction efforts to begin, but serious security problems arising from an Iraqi insurgency hampered the rebuilding effort. In 2003, real GDP growth stood at–21.8%, and the inflation rate was 29.3%. The "oil-for-food" program was phased out that May. A transitional government was elected in January 2005, and constitution-writing began. A referendum on the constitution was held in October 2005, with the constitution being approved overwhelmingly. Elections for a permanent government were held in December 2005. Iraq's unemployment rate in 2005–06 remained high (27–40%), but the overall Iraqi economy appeared to be improving somewhat. The continued sabotage of oil installations put a drag on the economy, however, but real GDP was forecast to grow at a rate of around 6% in 2006. In October 2003, a new Iraqi currency, the "new Iraqi dinar" was introduced, and by 2006 it had appreciated sharply. As of that date, Iraq had requested formal membership in the WTO. In November 2005, the World Bank approved a $100 million loan (for education purposes) to Iraq. Iraq assumed a heavy debt burden during the Saddam Hussein years of some $100–$250 billion, if debts to Gulf states, Russia, and reparations payment claims stemming from the 1990 invasion of Kuwait are included. Iraq's oil export earnings were immune from legal proceedings, including debt collection, until the end of 2007. In 2004, the Paris Club of 19 creditor nations agreed to forgive up to 80% on $42 billion worth of loans, but the relief was contingent upon Iraq reaching an economic stabilization program with the IMF.
The country's oil exports in 2005 were below 2004 levels. Oil production by 2006 had not returned to its prewar levels: it remained below 2 million barrels per day compared with a level of some 2.5 million barrels per day before the 2003 invasion. Persistent fuel shortages forced the government to raise the heavily subsidized price of gasoline in 2005. This sparked protests and rioting throughout Iraq. Oil exports for 2005 were 1.39 million barrels per day, down from 1.5 million barrels per day in 2004. The poor oil production figures were largely due to attacks on pumping and distribution facilities; death threats were also made to tanker drivers, which led to the closing of a refinery in northern Iraq. More than 75% of the country's GDP comes from oil. The high price of oil (more than $63 per barrel in the first week of January 2006) mitigated the economic damage from lower production, and oil prices were forecast to remain high over the long term.
INCOME
The US Central Intelligence Agency ( CIA ) reported that in 2005 Iraq's gross domestic product (GDP) was estimated at $94.1 billion. The per capita GDP was estimated at $3,400. The annual growth rate of GDP was estimated at 2.4%. The average inflation rate in 2005 was 40%. The CIA defines GDP as the value of all final goods and services produced within a nation in a given year and computed on the basis of purchasing power parity (PPP) rather than value as measured on the basis of the rate of exchange. In 2004, it was estimated that agriculture accounted for 7.3% of GDP, industry 66.6%, and services 26.1%. More than $33 billion in foreign aid was pledged for 2004–07.
LABOR
In 2004, Iraq's labor force was estimated at 7.4 million; however, there was no data available as to its occupational breakdown. Unemployment in 2005 was estimated to fall within the 25–30% range. The Trade Union Organization Law of 1987 established a centralized trade union structure of committees linked to trade unions, which in turn are part of provincial trade union federations under the control of the Iraqi General Federation of Trade Unions, and ultimately are controlled by the ruling Ba'ath Party. Although workers are legally allowed to strike upon informing the Labor Ministry, no strike has been reported in over 20 years.
Child labor is strictly controlled and in many cases prohibited. The minimum working age is 14, although economic necessity and lack of government enforcement have increased the number of children of all ages that are employed. There is a 6-day, 48-hour workweek, although this does not apply to agricultural workers. Historically, working women have been accepted in Iraq, but the number of women in the workforce dramatically increased because of the prolonged war with Iran as well as the Persian Gulf War, as women replaced men in the labor market.
In many cases, rural labor and farmers employed in government projects get reasonable salaries and good housing, but small, independent farmers receive fewer benefits. Since 1958, the Iraqi government has passed a number of agrarian reform laws. As a general rule, however, the quality of life differs greatly between rural areas and the cities, especially that in Baghdād. Th is differential has resulted in massive rural to urban migration.
AGRICULTURE
The rich alluvial soil of the lowlands and an elaborate system of irrigation canals made Iraq a granary in ancient times and in the Middle Ages . After the irrigation works were destroyed in the Mongol invasion, agriculture decayed. Today, about 13% of the land is considered arable. Unlike the rain-fed north, southern Iraq depends entirely on irrigation, which is in turn heavily reliant on electricity and fuel supply to run the pumping networks. There are similar diffi culties with the spring crop of vegetables in the south, also entirely dependent on irrigation. Over half the irrigated area in southern Iraq is affected by water-logging and salinity, diminishing crop production and farm incomes. Agriculture is Iraq's largest employer and the second-largest sector in value.
Under various agrarian reform laws—including a 1970 law that limited permissible landholdings to 4–202 hectares (10–500 acres), depending on location, fertility, and available irrigation facilities—about 400,000 previously landless peasants received land. Agrarian reform was accompanied by irrigation and drainage works, and by the establishment of cooperative societies for the provision of implements and machinery, irrigation facilities, and other services.
Agricultural production in Iraq declined progressively because of the war with Iran and the Persian Gulf War. In 1992, wheat production was estimated at 600,000 tons compared with 965,000 tons in 1982, but by 1999 was only 800,000 tons. During the 2003 conflict, most farmers in Iraq's three northern provinces were not displaced. The northern region produces some 30–35% of the grain crop. FAO estimates for 2004 included the following (in tons): wheat, 2,200,000; barley, 1,315,000; tomatoes, 1,000,000; dates, 910,000; potatoes, 625,000; eggplants, 442,000; cucumbers, 350,000; oranges, 310,000; and grapes, 300,000. Other crops grown for domestic consumption include millet, lentils, beans, melons, figs, corn, sugarcane, tobacco, and mulberries.
Iraq currently imports almost $3 billion in food commodities annually. Aid programs are helping expand production of wheat to minimize food imports. Efforts on select Iraqi farms doubled wheat production in 2004. Since 2003, the USAID's agriculture program has been working to restore veterinary clinics, introduce improved cereal grain varieties, repair agricultural equipment, and train farmers and Iraqi government staff. The US government has estimated that the Iraqi Ministry of Agriculture would require over $1 billion of agricultural inputs annually for Iraq's agricultural producers to boost production. Iraq will need to rely on imports to meet a large portion of its food and fiber needs, even with substantial gains in production.
ANIMAL HUSBANDRY
Animal husbandry is widespread. Sheep raising is most important, with wool used domestically for weaving carpets and cloaks. In 2001, Iraq had an estimated 6.1 million sheep; 1.6 million goats; 1.4 million head of cattle, and numerous donkeys, camels, mules, buffaloes, and poultry. FAO production estimates for 2004 included: cow's milk, 450,000 tons; sheep's milk, 157,500 tons; and chicken meat, 98,906 tons.
FORESTRY
Forests of oak and Aleppo pine in the north cover less than 2% of Iraq's entire area and have been depleted by excessive cutting for fuel or by fires and overgrazing. Since 1954, indiscriminate cutting has been prohibited, and charcoal production from wood has ceased. The forestry research center at Arbil has established tree nurseries and conducted reforestation programs. Output of roundwood was estimated at 114,000 cu m (4,024,000 cu ft) in 2004.
MINING
Iraq's mineral resources (excluding hydrocarbons) are limited. Crude oil was Iraq's sole export commodity in 2002, and construction materials comprised another leading industry. In 2004, Iraq produced hydraulic cement, nitrogen, phosphate rock (from the Akashat open-pit mine), salt, and native Frasch sulfur from underground deposits at Mishraq, on the Tigris (Al Furāt) River, south of Al Mawşil. In 2001, the State Organization for Minerals reported the discovery of sulfur deposits in the Western Desert, near Akashat. Production figures for 2004, were: phosphate rock 30,000 metric tons, down from 532,000 metric tons in 2002; sulfur, 20,000 metric tons (as a by product only); and salt, 50,000 metric tons. Without exception, production of all mineral commodities (excluding hydrocarbon minerals) has fallen since 2003. However, the output of Portland cement, while down from the 6,834,000 metric tons produced in 2002, had risen in 2004 to 2,500,000 metric tons from 1,901,000 metric tons in 2003, possibly as a result of the fighting and car bomb attacks in urban areas. Geological surveys have indicated usable deposits of iron ore, copper, gypsum, bitumen, dolomite, and marble; these resources have remained largely unexploited, because of inadequate transport facilities and lack of coal for processing the ores.
ENERGY AND POWER
Iraq's petroleum reserves are among the largest in the world. As of 1 January 2005, Iraq's proven oil reserves were estimated by the Oil and Gas Journal at 115 billion barrels, of which, about 75 billion barrels had yet to be developed. However, the country's reserves may be significantly higher. Only about 10% of the country has been explored for oil and it is believed by some analysts that in Iraq's Western Desert region, deep oil-bearing formations may contain another 100 billion or more barrels of oil. Others are less optimistic, estimating that only another 45 billion barrels may lie undiscovered.
In spite of its huge oil reserves, Iraq's oil production has been deeply affected by the nation's wars, resulting in major drops in crude oil production. During Iraq's war with Iran, output dropped from 3,476,900 barrels per day in 1979 to 897,400 barrels daily in 1981, and from 2,897,000 barrels per day in 1989 to 305,000 barrels daily in 1991, following an embargo on Iraqi oil exports for Iraq's invasion of Kuwait in 1990. Iraq's oil production slowly increased to 600,000 barrels per day by 1996, and with the country's acceptance of United Nations Resolution 986, allowing limited oil exports for humanitarian reasons ("oil-for-food program"), production rose to about 2.58 million barrels per day in January 2003, just before the US-led invasion of Iraq in March of that year. As of May 2005, maximum sustainable oil production by Iraqi was estimated at 1.9 million barrels per day. Oil production in 2004 was estimated at two million barrels per day. Domestic demand for oil was estimated in 2004 at 550,000 barrels per day, and forecast to reach 650,000 barrels per day in 2005.
According to the Oil and Gas Journal, crude oil refining capacity was estimated as of 1 January 2005 at 597,500 barrels per day.
Iraq's natural gas reserves were estimated, as of 1 January 2005, at 110 trillion cu ft, with production and domestic consumption estimated at 53 billion cu ft in 2003.
Iraq's electric power sector has also been affected by the country's wars. During the 1990–91 Persian Gulf War, about 85–90% of the national power grid was destroyed or damaged. However, 75% of the national grid had been restarted by early 1992. Total electricity production in 2000 was 31,700 million kWh, of which 98% was from fossil fuels and 2% from hydropower. The country's generating capacity was about 9,500 MW in 2001. As of late May 2005, Iraq's available and operating generating capacity was placed at about 4,000 to 5,000 MW. Peak summer demand however, was forecast to be at 8,000 MW. In 2004, electric output came to 32.6 billion kWh, with demand at 33.7 billion kWh and imports at 1.1 billion kWh.
INDUSTRY
Main industries are oil refining, food processing, chemicals, textiles, leather goods, cement and other building materials, tobacco, paper, and sulfur extraction. In 1964, the government took over all establishments producing asbestos, cement, cigarettes, textiles, paper, tanned leather, and flour. Iraq has eight major oil refineries, at Baiji, Al Başrah, Daura, Khānaqin, Haditha, Mufthiah, Qaiyarah, Al Mawşil, and Kirkūk. The Iraq-Iran War, Persian Gulf War, and Iraq War of 2003 seriously affected Iraqi refining. Iraq had a total refinery capacity of 597,500 barrels per day in 2005. The bulk of Iraq's refinery capacity is concentrated in the Baiji complex.
Industrial establishments before the 2003 war included a sulfur plant at Kirkūk, a fertilizer plant at Al Başrah, an antibiotics factory at Sāmarrā, an agricultural implements factory at Iskandariyah, and an electrical equipment factory near Baghdād. In the 1970s, Iraq put strong emphasis on the development of heavy industry and diversification of its industry, a policy aimed at decreasing dependence on oil. During the 1980s, the industrial sector showed a steady increase, reflecting the importance given to military industries during the Iran–Iraq war. By early 1992 it was officially claimed that industrial output had been restored to 60% of pre-Persian Gulf War capacity. Beginning in 1996, Iraq was permitted to export limited amounts of oil in exchange for food, medicine, and some infrastructure spare parts (the UN "oil-for-food" program). By 1999, the UN Security Council allowed Iraq to export as much oil as required to meet humanitarian needs. The program was phased out in May 2003 following the defeat of the Saddam Hussein regime. In 2004, industry accounted for 66.6% of GDP.
SCIENCE AND TECHNOLOGY
Iraq has imported Western technology for its petrochemical industry. The Scientific Research Council was established in 1963 and includes nine scientific research centers. The Nuclear Research Center (founded in 1967) has conducted nuclear physics experiments and produced radioisotopes with equipment supplied by France. In 1982, the French government agreed to help rebuild the institute's Osirak reactor, knocked out by an Israeli air attack the previous year. Eight universities offer degrees in basic and applied sciences. In addition, the Ministry of Higher Education has 18 incorporated technical institutes. The Agriculture and Water Resources Research Center (founded in 1980) and the Iraq Natural History Research Center and Museum (founded in 1946) are both located in Baghdād. The Iraqi Medical Society (founded in 1920) is headquartered there.
DOMESTIC TRADE
Modern shops and department stores have spread throughout the country, replacing traditional bazaars. Baghdād, Al Mawşil, and Al Başrah, as well as other large and medium-size cities, all have modern supermarkets. Baghdād leads in wholesale trade and in the number of retail shops.
The previously state-owned economy has been suffering since the 1980–88 Iran-Iraq War. The 1990 Kuwait invasion and the subsequent international military intervention caused even greater damage to the infrastructure and resulted in international sanctions that crippled the economy. With the 2003 ousting of Saddam Hussein by international coalition forces, the way was paved to reopen the Iraqi economy to international trade. However, the nation was expected to be highly dependent on foreign aid and investment for the foreseeable future.
FOREIGN TRADE
Iraq's most valuable export is oil, which has historically accounted for almost all of its total export value. Rising oil prices during the 1970s created increases in export revenues. However, the drop in world oil prices and Iraq's exporting problems due to international sanctions essentially put an end to Iraqi oil exports. The United Nations (UN) imposed trade restrictions on non-oil exports in August 1990. Non-oil exports (often illegal) were estimated at $2 billion for the 12 months following the March 1991 cease-fire. Iraq was traditionally the world's largest exporter of dates, with its better varieties going to Western Europe, Australia , and North America .
Until 1994, the UN committee charged with supervising what little international trade Iraq was permitted to engage in—food and medicine, essentially—kept records on the amount of goods it approved for import in exchange for oil. In the first half of 1994, the committee recorded $2 billion in food imports, $175 million in medicine, and an additional $2 billion in "essential civilian needs," a term that at that time referred to agricultural machinery, seeds, and goods for sanitation.
In 1995, the Iraqi government rationed its people only one-half of the minimum daily requirement in calories. In 1997, the UN permitted Iraq to expand its oil sales to increase its purchasing power of food and other sources of humanitarian relief. In the spring of that year the country received 400,000 tons of wheat to help feed its suffering population, who had been living under strict food rations for four years. Limited exports were organized by the UN, and the oil-for-food program brought in revenues during 1999 equaling $5.3 billion.
In 2005, Iraq's exports were crude petroleum (83.9%), crude materials excluding fuels (8%), and food and live animals (5%). Imports were food, medicines, and manufactures. Iraq's export partners in 2005 were: the United States (51.9%), Spain (7.3%), Japan (6.6%), Italy (5.7%), and Canada (5.2%). Iraq's import partners were: Syria (22.9%), Turkey (19.5%), the United States (9.2%), Jordan (6.7%), and Germany (4.9%).
BANKING AND SECURITIES
When Iraq was part of the Ottoman Empire, a number of European currencies circulated alongside the Turkish pound. With the establishment of the British mandate after World War I, Iraq was incorporated into the Indian monetary system, which was operated by the British, and the rupee became the principal currency in circulation. In 1931, the Iraq Currency Board was established in London for note issue and maintenance of reserves for the new Iraqi dinar. The currency board pursued a conservative monetary policy, maintaining very high reserves behind the dinar. The dinar was further strengthened by its link to the British pound. In 1947 the government-owned National Bank of Iraq was founded, and in 1949 the London-based currency board was abolished as the new bank assumed responsibility for the issuing of notes and the maintenance of reserves.
In the 1940s, a series of government-owned banks was established: the Agricultural Bank and the Industrial Bank, the Real Estate Bank, the Mortgage Bank, and the Cooperative Bank. In 1956 the National Bank of Iraq became the Central Bank of Iraq. In 1964, banking was fully nationalized. The banking system comprised the Central Bank of Iraq, the Rafidain Bank (the main commercial bank), and three others: the Agricultural Cooperative Bank, the Industrial Bank, and the Real Estate Bank. In 1991 the government decided to end its monopoly on banking. After 1991, six new banks were established—the Socialist Bank, Iraqi Commercial Bank, Baghdād Bank, Dijla Bank, Al-Itimad Bank, and the Private Bank—as a result of liberalizing legislation and the opportunity for large-scale profits from currency speculation.
Preference for investing savings in rural or urban real estate is common. Major private investments in industrial enterprises can be secured only by assurance of financial assistance from the government. The establishment of a stock exchange in Baghdād was delayed by practical considerations (such as a lack of computers), but it was eventually inaugurated in March 1992.
During the 2003 US-led war and subsequent occupation of Iraq, the financial sector essentially disappeared. The banking district of Baghdād was wrecked by the bombing campaign, and until the provisional government becomes stable, it appeared that financial activity would remain at a standstill. Rejuvenation of Iraq's banking system was seen as a high priority. With the passage of the 2005 constitution, a central bank was established, which has the power to issue new currency and set interest rates in the hopes of managing the country's massive debts. USAID gave loans of up to $250,000 to small businesses and entrepreneurs in order to jumpstart the economy. Iraq's banking system had been one of the region's most advanced prior to the war, so the foundations were already in place for a sound financial sector.
INSURANCE
The insurance industry was nationalized in 1964. The State Insurance Organization supervises and maintains three companies: the National Life Insurance Co., the Iraqi Life Insurance Co., and the Iraqi Reinsurance Co. Third-party motor vehicle liability insurance is compulsory. In 1999, Iraqis spent $42 million on insurance.
PUBLIC FINANCE
There are several budgets: the ordinary budget, under which the regular activities of the government are financed; separate budgets for the Iraqi State Railways, the Port of Al Başrah Authority, the Al-Faw Dredging Scheme, and the tobacco monopoly; municipal budgets requiring government approval; and allocations for semi-independent government agencies. In addition, there is a separate development budget, as well as an undeclared budget for the military believed to have absorbed over half of state funds during the war with Iran. Since 1980, the decline in oil exports and huge war expenditures forced Iraq to borrow and to raise funds from abroad. Iraq's invasion of Kuwait in 1990, with the consequent infrastructural damage, UN sanctions, and oil embargo, severely diminished revenues. The future of the Iraqi economy is highly uncertain. Until a stable government is in place, it will be very difficult for any commercial activity to take place.
The US Central Intelligence Agency (CIA) estimated that in 2005 Iraq's central government took in revenues of approximately $19.3 billion and had expenditures of $24 billion. Revenues minus expenditures totaled approximately -$4.7 billion. Total external debt was $82.1 billion.
TAXATION
Direct taxes are levied on income and on property. The rental value of dwellings, commercial buildings, and nonagricultural land is taxed, with a certain tax-free minimum. In 1939, graduated income tax rates were established on income from all sources except agriculture. Most agricultural income is not taxed.
Indirect taxation predominates. The land tax must be paid by all who farm government lands with or without a lease. Owners of freehold (lazimah) land pay no tax or rent. Much farm produce consumed on the farm or in the village is not taxed at all, but when marketed, farm products are taxed.
CUSTOMS AND DUTIES
As of 1 March 2004, a 5% reconstruction levy based on the customs value of the product was imposed upon all imports. However, food, clothing, medicines, humanitarian goods, and books are exempt. In 1989, Iraq joined the newly formed Arab Cooperation Council (ACC) with Egypt, Jordan, and Yemen . The ACC's goals included formation of a common market and economic integration in other areas. The international embargo levied against the nation after it invaded Kuwait essentially ended Iraq's participation in the ACC. Egypt, one of its partners in the Council, was a leader in the military coalition that liberated Kuwait.
FOREIGN INVESTMENT
UN sanctions effectively froze all of Iraq's foreign transactions in the 1990s. In October 1992, the UN Security Council permitted these frozen assets, including Iraqi oil in storage in Turkey and Saudi Arabia, to be sold without the permission of the Iraqi government. About $1 billion of frozen assets were to pay for compensation to Kuwaiti victims of the invasion and to cover UN operations inside Iraq.
In September 2003, the American-appointed Coalition Provisional Authority announced it was opening up all sectors of the economy to foreign investment in an attempt to deliver much-needed reconstruction in the war-torn country. The Iraqi Governing Council announced it would allow total foreign ownership without the need for prior approval. The program applied to all sectors of the economy, from industry to health and water, except for natural resources (including oil). The deal also included full, immediate remittance to the host country of profits, dividends, interest, and royalties. Income and business taxes for foreign investors were capped at 15% beginning in 2004. More than $33 billion in foreign aid was pledged to Iraq for 2004–07.
ECONOMIC DEVELOPMENT
Until the 2003 Iraq War, the government both controlled and participated in petroleum, agriculture, commerce, banking, and industry. In the late 1960s, it made efforts to diversify Iraq's economic relations and to conserve foreign exchange. As an example, it was announced in 1970 that contracts for all planned projects would be awarded to companies willing to receive compensation in crude oil or petroleum products. The government also undertook to build an Iraqi tanker fleet to break the monopoly of foreign oil-transport companies.
The imposition of sanctions against Iraq in the 1990s destroyed all attempts to stabilize Iraq's payments on its foreign debt. Iraq also faced reparation claims. Iran separately pursued its claim for massive separation payments arising from the 1980–88 war. Iraq was also obligated by UN resolutions to pay for various UN agency activities.
Iraq had an estimated foreign debt in 2005 of $82.1 billion. However, a large portion of Iraq's debt had been forgiven by that time, and the IMF provided new funds as part of an effort to get Iraq back into capital markets, where it could secure the financing it needs to invest in the critical oil sector. The insurgency against coalition forces, in addition to underinvestment, prevented the oil industry from getting back on its feet. Work was being carried out to rebuild infrastructure, but by 2006, insurgents were destroying much of what was being built.
SOCIAL DEVELOPMENT
A social security law passed in 1971 provides benefits or payments for disability, maternity, old age, unemployment, sickness, and funerals. This law applies to all establishments employing five or more people, but excludes agricultural employees, temporary employees, and domestic servants. This social insurance system is funded by employee contributions of 5% of their wages, and employer contributions of 12% of payroll. Oil companies are required to pay 25% of payroll. Men may retire at age 60 and women at 55 after they have worked for 20 years. Maternity benefits for employed women include 100% of salary for a period of 10 weeks. Work injury is covered and unemployment assistance is available.
Little is known about the extent of domestic violence in Iraq. Domestic abuse is addressed within the family structure, therefore there are no statistics available or agencies to assist victims. In 2004 there were reports of honor killings. Women who do not wear traditional clothing are subject to harassment.
Human rights are being addressed as the government undergoes significant transformation. The regime of Saddam Hussein was notorious for extensive human rights abuses.
HEALTH
There are many well-trained Iraqi physicians; however, their effectiveness is limited by a lack of trained nursing and paramedical staff. In the period 1985–95, some 93% of the population had access to health care services. Private hospitals are allowed to operate in Baghdād and other major cities. Considerable effort was made to expand medical facilities to small towns and more remote areas of the country, but these efforts have been hampered by a lack of transportation and a desire of medical personnel to live and work in Baghdād and the major cities. In 2000, 85% of the population had access to safe drinking water and 79% had adequate sanitation. Dentists and other specialists are almost unknown in rural districts. Child nutrition has been negatively affected by years of conflict. The UN Children's Fund documented that 4,500 children under five die every month from hunger and disease.
In 2004, Iraq had 54 physicians, 308 nurses, 8 pharmacists, and 11 dentists per 100,000 people. Iraq's 2002 birth rate was estimated at 34 per 1,000 people. Of married women (ages 15 to 49), 14% used contraception in 1989. Life expectancy in 2005 averaged 68.7 years. The fertility rate decreased from 7.2 in 1960 to 4.3 children in 2000 for each woman during childbearing years. Immunization rates for children up to one year old were: tuberculosis, 90%; diphtheria, pertussis, and tetanus, 92%; and measles, 98%. In 1999, there were 156 reported cases of tuberculosis per 100,000 people. The infant mortality rate in 2005 was 50.23 per 1,000 live births. The HIV/AIDS prevalence was 0.10 per 100 adults in 2003. As of 2004, there were approximately 500 people living with HIV/AIDS in the country.
HOUSING
In the 20 years leading up to the 2003 Iraq War, living conditions for the vast majority of the population improved greatly. Electricity and running water were normal features of all Iraqi villages in rural areas. Mud huts in remote places were rapidly being replaced by brick dwellings. Major cities like Al Mawşil, Al Başrah, and especially Baghdād had most of the amenities of modern living. Traditionally, Iraqis have lived in single family dwellings, but in the last 15 years, the government had built a number of high-rise apartments, especially in Baghdād. It had done so to control urban sprawl and to cut down on suburban service expenditures.
The 2003 invasion of Iraq by international coalition forces caused destruction and damage to a large portion of the housing sector, particularly in and around Baghdād. The UN responded to the crisis by providing construction materials through the oil-for-food program. The housing sector had been part of this program since 2000. Through the program, about 64,932 housing units were built to accommodate about 551,922 people.
EDUCATION
Under the regime of Saddam Hussein, public education was forcibly secular and militarized, with most textbooks and other curriculum strongly based on promoting the causes of the government. The US-led invasion of Iraq beginning in 2003 and the overthrow of Hussein's regime continue to have damaging effects on the country's infrastructure. Many schools have been severely damaged or destroyed; but reconstruction efforts are being funded by a variety of international groups and governments. New developments in the post-Hussein system include the reprinting of textbooks and a greater freedom for teachers in designing and implementing curriculums. Some schools are beginning to adopt fundamental Islamic studies as a large part of their curriculum. This has caused some concern for new government officials and analysts, who fear that too much of a fundamentalist approach might lead to a new set of restrictions in academic freedom.
In general, six years of compulsory primary education has been in effect since 1978. Primary schools have provided the six-year course, at the end of which the student passes an examination to be admitted to secondary school. An intermediate secondary school program covers a three-year course of study. After this stage, students choose to attend a preparatory school or a vocational school, both of which offer three-year programs.
Education at all levels from primary to higher education has been free. Private schools are now permitted to operate. There are 20 state universities in Iraq and 47 technical colleges and institutes. The University of Baghdād is the most important higher education institution in the country. Other universities include Al Mawşil, al-Mustansiriya, Al Başrah, and As Sulaymāniyah. In 2003, the adult literacy rate was estimated at about 40.4%, with 55.9% for men and 24.4% for women.
LIBRARIES AND MUSEUMS
Following the war in 2003, arsonists and looters ransacked the libraries and museums of Iraq, causing extensive destruction and damage and nearly eliminating some valuable historic and cultural collections of books, documents, and artwork. Various international groups have stepped forward to offer assistance in rebuilding and restocking the sites of what were Iraq's most prominent museums and libraries, but it is uncertain as to how many rare and valuable items can be recovered. The National Library and Archives in Baghdād was founded in 1961. Two noteworthy academic libraries are the Central Library of the University of Baghdād and the Central Library of the University of Al Mawşil. One of the country's outstanding libraries has been the Iraqi Museum Library (founded 1934), with modern research facilities. The Directorate of Antiquities in Baghdād houses a library as well. There are public library branches in many provincial capitals.
With the exception of the National History Research Center and Museum and the National Museum of Modern Art, museums have been under the control of the Department of the Directorate-General of Antiquities in Baghdād. One of the most outstanding collections were kept at the Iraqi Museum in Baghdād, which contained antiquities dating from the early Stone Age; however, this was one of the sites looted and damaged after the war. The Abbasid Palace Museum and the Museum of Arab Antiquities, both located in Baghdād, are housed in restored buildings from the 13th and 14th centuries, respectively.
MEDIA
In 2003, there were an estimated 28 mainline telephones for every 1,000 people. The same year, there were approximately three mobile phones in use for every 1,000 people.
As of 2005, television and radio stations that were initially launched by the Coalition Provisional Authority were being incorporated into the new publicly-funded Iraqi Public Broadcasting Service. A number of foreign broadcasters are being accessed through satellite. In 2004, there were about 80 radio stations and 21 television stations in operation inside the country. In 2003, there were an estimated 222 radios for every 1,000 people. The number of televisions was not available through the same survey. Also in 2003, there were 8.3 personal computers for every 1,000 people and one of every 1,000 people had access to the Internet . Access is made primarily through Internet cafés.
In 2004, there were over 130 daily and weekly publications nationwide. Prominent daily papers in 2005 included Al-Sabah, Al-Mada, Al-Zaman, Al-Mashriq, and Al-Dustur. Iraq Today is a popular English-language weekly.
The 2005 constitution guarantees freedom of speech, press, and assembly.
ORGANIZATIONS
Chambers of commerce are active in Baghdād, Al Başrah, and Al Mawşil. Cooperatives, first established in 1944, have played an increasingly important social role, especially under the post-1968 Ba'ath government. There are many youth centers and sports clubs. Scouting programs are active. The General Federation of Iraqi Youth and the General Federation of Iraqi Women are government-sponsored mass organizations. The Women's Union of Kurdistan (WUK), established in 1989, works toward improving the lifestyle and social development of women by publishing educational magazines and presenting educational seminars on health, education, and legal issues. Red Crescent societies provide social services in many cities and towns.
TOURISM, TRAVEL, AND RECREATION
Tourism declined sharply in the 1980s during Iraq's occupation of Kuwait and the Gulf War, and has not recovered. The March 2003 attack on Iraq by US and UK forces and the subsequent fall of the government led to almost no tourist activity as of 2006. Prior to the political and military challenges of the 1980s, many visitors from other Arab states were pilgrims to Islamic shrines. The other principal tourist attraction is visiting the varied archeological sites. Popular forms of recreation include tennis, cricket, swimming, and squash.
According to the US Department of State in 2004, the estimated daily cost of staying in Baghdād was $11.
FAMOUS IRAQIS
The most famous kings in ancient times were Sargon (Sharrukin) of Akkad (fl.c.2350 bc), Hammurabi of Babylon (r.1792?–1750? bc), and Nebuchadnezzar II (Nabu-kadurri-utsur, r.605?–560? bc) of Babylon.
Under the caliphs Harun al-Rashid (ar-Rashid ibn Muhammad al-Mahdi ibn al-Mansur al-'Abbasi, r.786–809) and al-Mamun (abu al-'Abbas 'Abdullah al-Mamun, r.813–33), Baghdād was the center of the Arab scholarship that translated and modified Greek philosophy. A leading figure in this movement was Hunain ibn Ishaq (d.873), called Johannitius by Western scholastics. His contemporary was the great Arab philosopher Yaqub al-Kindi, whose catholicity assimilated both Greek philosophy and Indian mathematics. The founder of one of the four orthodox schools of Islamic law, which claims the largest number of adherents in the Muslim world, Abu Hanifa (d.767) was also a native Iraqi. Another celebrated figure in theology, 'Abd al-Hasan al-Ash'ari (c.913), who combated the rationalist Mu'tazila school, also lived in Baghdād; his influence still prevails in Islam. Al-Ghazali (Ghazel, d.1111), though Persian by birth, taught at the Nizamiyah University in Baghdād; he is one of the best-known Islamic philosopher-theologians. Iraq also produced famous mystics like Hasan al-Basri (642–728) and 'Abd al-Qadir al-Jilani (1077–1166); the latter's followers are numerous among Asian Muslims, and his tomb in Baghdād draws many pilgrims. Modern Iraq has produced no artist or writer famous outside the Arabic-speaking world.
Gen. Saddam Hussein (Husayn) al-Takriti (b.1937), served as chairman of the Revolutionary Command Council and president of the country from 1979 until his ousting in 2003.
BIBLIOGRAPHY
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Cordesman, Anthony H. Iraq: Sanctions and Beyond. Boulder, Colo.: Westview Press, 1997.
——. The War after the War: Strategic Lessons of Iraq and Afghanistan. Washington, D.C.: CSIS Press, 2004.
Dalley, Stephanie. The Legacy of Mesopotamia. New York: Oxford University Press, 1998.
Fulanain. The Tribes of the Marsh Arabs: The World of Haji Rikkan. London, Eng.: Kegan Paul International, 2003.
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Hiro, Dilip. Iraq: In the Eye of the Storm. New York: Th under's Mouth Press/Nation Books, 2002.
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Seddon, David (ed.). A Political and Economic Dictionary of the Middle East. Philadelphia: Routledge/Taylor and Francis, 2004.
Cite this article
Baghdād, Al Başrah, Al Mawşil
Other Cities:
An Najaf, Arbil, Kirkūk, Ar Ramādi, Nimrud, Nineveh
EDITOR'S NOTE
This chapter was adapted from the Department of State Post Report for Iraq. Supplemental material has been added to increase coverage of minor cities, facts have been updated, and some material has been condensed. Readers are encouraged to visit the Department of State's web site at http://travel.state.gov/ for the most recent information available on travel to this country.
INTRODUCTION
IRAQ is the cradle of civilization, the country of the Thousand and One Nights, and the land of the two great rivers of history, the Tigris and the Euphrates . Known to the ancient Greeks as Mesopotamia ("in the midst of the rivers"), Iraq was enlarged after World War I to include the northern mountainous district of Kurdistan.
Modern Mesopotamia is still a fascinating juxtaposition of the old and the new. While signs of progress are visible everywhere, so are the manifestations of past glories. Excavated sites of vanished empires—Sumerian, Akkadian , Babylonian, Assyrian, Chaldean, Persian, Greek, Parthian, Ottoman, and Islamic—remind every visitor of the incredible heritage of which modern Iraq is a part.
Editor's Note: Most of the city and country profile information contained in this entry reflects the conditions in Iraq prior to the outbreak of hostilities from the 1990 Iraqi invasion of Kuwait , the subsequent withdrawal of Iraqi troops as a result of the multi-national military attack that ended on February 27, 1991, and the continued economic sanctions imposed by the United Nations.
MAJOR CITIES
Baghdād
The history of Baghdād begins in the eighth century. It was founded by Caliph Mansur, and was known as the City of Peace. During the time of Charlemagne , it flourished under the Abbassid Caliph Harun al-Rashid, after whom its present-day main street was named. The old walled city, with a diameter of 3,000 yards, was completely destroyed, first by the Mongols , later by Hulagu Khan in 1258, and again by Tamerlane in 1400. Baghdād became a frontier outpost of the Ottoman Empire from 1638 to 1917, finally emerging as the capital of the Kingdom of Iraq in 1921. The city was the scene of the 1958 coup that overthrew the monarchy and established the Iraqi republic.
Baghdād of the 19th century can best be observed in the souks or bazaars, which have changed little in the last 100 years, except for the goods they offer the shopper. Among the things that can be found are silver and gold jewelry, copper and brass trays and coffee pots, Persian carpets, Kuwaiti chests, and hordes of people.
Baghdād is a sprawling city of about 4.9 million people (2000 est.). It bustles with vehicular traffic like all other capitals of oil-producing states. Yet, residential areas are still quiet with some remnants of mud villages interspersed with modern villas. The villas themselves are surrounded by high walls within which grow pleasant gardens with fruit tress, grass, and flowers.
Baghdād is rich in archaeological remains, and several museums are located in the city. There are three universities in Baghdād; the largest is the University of Baghdād, founded in 1958. Baghdād International Airport is 12 miles from the city.
Clothing
Only two types of clothing are required in Baghdād: an extensive summer wardrobe and warm winter clothing for the chilly November to March season. Bring garment bags to protect clothing from dust and insects.
Sports attire varies. White is required for tennis at the local clubs. Bathing suits deteriorate rapidly, so several should be brought to Iraq.
Raincoats and boots or rubbers are needed for the whole family, especially children, during the very muddy, wet winter months. Boots can be bought locally.
In general, most imported clothing items are restricted in availability and selection, and are expensive; locally made clothing is of poor quality.
Men need cool, lightweight suits, and many shirts. Suits and ties are worn throughout the year in the office. In summer, it is often necessary to change shirts during the day. Sports shirts and slacks are worn during the leisure hours; shorts should be worn only at home.
Women require a wardrobe of lightweight suits; cool, washable dresses; slacks; shirts; and blouses. Inexpensive cottons are advisable due to frequent laundering. There is no taboo against wearing reasonably low-cut dresses. Dry cleaning is satisfactory. Stockings usually are not worn during summer. In winter, wool suits, dresses, slacks, sweaters, and warm bathrobes are essential. Coats, stoles, and warm wraps are required for winter evenings; light wraps are necessary for spring and fall.
Women's shoes are available locally but quality is poor and they are expensive. Low-heeled sandals, flats, and sneakers are used for ordinary day wear, depending on the season, with emphasis on sturdiness.
Children's clothing should be washable. Warm clothing is needed for winter in unheated rooms with cold tile floors. In summer, most children wear cotton clothing. Because much time is spent at swimming pools, several bathing suits are needed for each child. Children's tennis shoes, sandals, and flip-flops are available at a reasonable price.
Supplies and Services
Toilet articles, cosmetics, over-the-counter medications, household items and other related items are scarce or unavailable.
The better tailors and dressmakers in Baghdād can usually follow a pattern with desired results, but they are not designers and are very expensive.
Simple shoe repairs are possible, but repair work on women's shoes is unsatisfactory. Dry cleaning is available and is of acceptable quality. Several beauty shops in Baghdād have experienced stylists at reasonable prices. Barbershops are less satisfactory, but are adequate.
Education
Baghdād International School offers an international education in English to children of foreign diplomats and expatriates from pre-kindergarten through grade 12. Founded in 1969, the coeducational, day, proprietary school is governed by an independent board of directors that includes both appointed and elected members.
The school is chartered by the United Nations Economic and Social Commission for Western Asia under an agreement with the government of Iraq. It is not accredited and there are no facilities for special education, learning disabilities, or gifted. If the child receives supplementary work at home, the school curriculum is considered adequate for the early elementary grades. A variety of extracurricular activities centering around sports and dance may be chosen. Enrollment currently totals over 50 representing many different countries. The school year runs from September to early June.
Baghdād International School is located six miles west of the city on an 11-acre campus. The air-conditioned school has a media center, auditorium, cafeteria, science laboratories, athletic fields, and a 16,000-volume library. The school's mailing address is P.O. Box 571, Baghdād, Iraq.
Other schools in Baghdād provide education in other languages.
Recreation
The flat desert terrain of Baghdād and vicinity is aesthetically unappealing, but some relief is afforded by drives to nearby places of interest. Many foreigners combine picnicking with archaeological exploration on weekends and holidays. Extensive travel within Iraq is limited by the desert, the summer heat, the lack of good roads (except between major cities), and, above all, travel restrictions.
A new road has been under construction from the Kuwaiti border to Baghdād and then west to Jordan . Driving time from Baghdād to Al Başrah is about six hours; to Al Mawşil about four hours. Truck traffic on the existing roads is often heavy. All diplomatic personnel must obtain government permission for most travel outside Baghdād. Difficulties encountered in travel contribute to the isolation of Baghdād.
Picnic excursions outside Baghdād in cool weather may include visits to the ruins of Babylon (45 miles, longtime capital of the Babylonian Empire), Ctesiphon (18 miles, vaulted banqueting hall of the Sassanian Kings), and Samarra (87 miles, short-lived ninth-century capital of the Abbassid Caliphate). Visits to the Shia holy places of An Najaf and Kerbala are an easy oneday excursion. The upper Euphrates River, with its unique water wheels, is worth a weekend trip.
The sites of Hatra, Nineveh, Nimrud, and Khorsabad are also of archaeological and historical interest. When travel to northern Iraq is permitted, visits to Christian and Yazidi villages there are also rewarding, as are visits to the mountains of the Kurdish areas.
The northern resort areas of Iraq have been rebuilt and expanded. The higher elevations and colorful local culture in the Kurdish region combine to make this area one of prime tourist interest. Security restrictions may prevent foreigners from visiting this area.
The cities of Amman (Jordan), Istanbul ( Turkey ), and Kuwait City (Kuwait) offer a welcome change, but air travel is expensive and auto travel is time-consuming. However, good roads do exist to these points, and the journeys, if time allows, are rewarding.
The bazaars of Baghdād should be explored and visits to the city's monuments and museums are rewarding.
Tennis, softball, cricket, bowling, swimming, and squash are available in and around Baghdād. Several of the city's luxury hotels offer memberships entitling one to use their athletic facilities which usually include swimming, tennis, squash bowling, weight rooms, and sauna. Hunting is forbidden and guns may not be imported. Boating, water-skiing, and windsurfing are possible at several Iraqi lakes but these destinations require travel permission.
Many foreigners belong to the Alwiyah Club. Members of the foreign community informally organize activities which include running, drama, music appreciation and bridge. Social life is restricted to home entertainment among members of the diplomatic and business communities. Home entertainment equipment such as stereos, record collections, and videotape equipment can be brought to Iraq. Videotaped movies are available in Kuwait for both the VHS and BETA systems.
Baghdād, as an entertainment center, is undistinguished. Opera, ballet, and the legitimate theater do not exist, but some English-language films are shown in the local cinemas. Nightclubs, although in operation, do not have a wide selection of entertainment. Some local restaurants are frequented by foreigners in Baghdād. The Iraqi Symphony Orchestra gives a few concerts during the winter season.
Iraq's national tourist agency, the General Establishment for Travel and Tourism Services, is located at Al-Kodwa Square, Khalid bin Al-Waleed Street, Baghdād.
Al Başrah
Iraq's only port is Al Başrah (also spelled Basra , Bassora, Bussora, and Busra, and known in the Arabian Nights as Bassorah), located in the southeastern section of the country on the Shatt-al-Arab waterway, 300 miles south of Baghdād. Al Başrah has become a prosperous city due to its location near the oil fields and 75 miles from the Arabian Gulf; it was the site of a great deal of Gulf War fighting. Petroleum products, grains, dates, and wool are exported from Al Başrah. Many oil refineries have been constructed in the city since 1948.
Founded by the Caliph Umar I in 636, Al Başrah was a cultural center under Harun ar-Rashid, but declined with the decay of the Abbassid caliphate. For many years, the Persians and the Turks fought for possession of Al Başrah. The construction of a rail line linking Al Başrah and Baghdād and the building of a modern harbor restored the city's importance after World War I. Occupied by the British in World War II , it was an important transshipment point for supplies to Turkey and the former U.S.S.R.
A branch of the University of Baghdād is located in Al Başrah. The population of Al Başrah is over 700,000.
Al Mawşil
Al Mawşil, with a population of about 1,034,000 (2000 est.), is located on the Tigris River in northern Iraq, opposite the ruins of Nineveh, and 225 miles north of Baghdād. The largest city in northern Iraq and the country's third largest city, Al Mawşil is important for its trade in agricultural goods and exploitation of oil. Most of the city's inhabitants are Arabs, although the surrounding area is mostly populated by Kurds.
Historically, Al Mawşil was the chief city in northern Mesopotamia for 500 years before being devastated by the Mongols. During its occupation by the Persians in 1508, and by the Turks from 1534 to 1918, the city remained extremely poor. Under British occupation from 1918 to 1932, Al Mawşil again became the chief city of the region. Turkey disputed its possession by Iraq in 1923-1925, but it was confirmed by the League of Nations in 1926. The city's oil wells were seized during the Arab revolt of April 1941, but were soon retaken by the British.
A trading center for grain, hides, wool, livestock, and fruit, Al Mawşil produces cement, sugar, nylon, and bitumen. The city has numerous mosques, shrines, and churches; its university was founded in 1967. Nearby are the ancient ruins of Nineveh and the partially excavated cities of Tepe Gawra, Calah, and Dur Sharrukin.
OTHER CITIES
The holy city of AN NAJAF is located in south-central Iraq on a lake near the Euphrates River, about 100 miles south of Baghdād. With a population over 130,000, An Najaf is the site of the tomb of Ali, the son-in-law of Muhammad the Prophet. An object of pilgrimage by the Shi'ite Muslims, the tomb is a starting point for the pilgrimage to Mecca . The city is also called Mashad Ali in honor of Ali.
ARBIL (also spelled Irbil) is a commercial and administrative center in northern Iraq, between the Great and Little Zab Rivers, about 200 miles north of Baghdād in a rich agricultural region. The ancient Sumerian city of Urbillum, or Arbela, formerly occupied this site; it eventually became one of the great Assyrian towns. As the capital of its province, Arbil today is a major grain producer. The railroad that ends in Arbil connects the city with Kirkūk and Baghdād. Arbil is currently built on an artificial mound on top of an old Turkish fort. The population was estimated at 2,368,000 in 2000.
Iraq's oil industry is centered in the city of KIRKŪK , located in the northeast part of the country about 150 miles north of Baghdād. The city, with a population of approximately 535,000, is connected by pipelines to ports on the Mediterranean Sea . Kirkūk is also the market for the region's produce, including cereals, olives, cotton, and fruits. The city is also home to a small textile industry. The surrounding agricultural region also raises sheep. Present-day Kirkūk is situated on a mound that contains the remains of a settlement that dates back to 3000 B.C. Most of the residents of Kirkūk are Kurds. Kirkūk is the terminus of a railroad from Baghdād.
AR RAMĀDI (also called Rumadiya; in Arabic, Ramadi) lies on the right bank of Euphrates River, 60 miles west of Baghdād. It is the starting point of a highway that crosses the desert to Mediterranean towns. Ar Ramādi was the scene of battle during World War I in which the British, under the rule of Maude, defeated the Turks. The population was estimated well over 80,000.
The ruins of the ancient city of NIMRUD lie about 37 km southeast of the city of Monsul, south of Nineveh. In the time of the Assyrian empire it was known as Kalhu, or Calah, as it is mentioned in Genesis of the Old Testament . It served as the capital of Assyria under Assurbanipal II in 879BC and was destroyed by the Medes of Northern Persia at about 612BC. Archeological excavations have uncovered many of the walls and several artifacts from the king's palace, called the Northwest Palace. A site museum is now located there. On the southeastern side of the city lie the remains of the royal arsenal, Fort Shalmanesar.
The ancient city site of NINEVEH is located on the Tigris River, just opposite of Monsul. Today, however, the name refers to the larger administrative district for the area, which has a population of about 1.6 million (1991 est.). The ancient city served as the capital of the Assyrian Empire from about 704-681BC and was somewhat known as the hub of the civilized ancient world. It was taken over by the Medes of Northern Persia at about 612BC. As capital, the city of Nineveh was the site for the magnificent palaces of Sennacherib and Assurbanipal. Recent archeological excavations have uncovered a great deal of the ancient city, including a section of wall about 7.5 miles long and sculptures from the palaces. The original city's protection wall contained 15 gates, each named for an Assyrian god . At least two of these gates, Shamash and Nergal, have been reconstructed. One of the most incredible finds was the Assurbanipal library, which includes over 20,0000 cuneiform tablets. The Iraq Department of Antiquities has roofed the sites and has established the Sennacherib Palace Site Museum for visitors.
COUNTRY PROFILE
Geography and Climate
The Republic of Iraq is situated on the Asian Continent, northeast of the Arabian Peninsula. It lies between 38° and 29°30′ north latitude, and 38° 30′ and 51°30′ east longitude, from its northwestern tip to its southeastern extremity. Iraq is bounded on the north by Turkey, on the east by Iran , on the south by Kuwait and the Arabian Gulf, on the southwest by Saudi Arabia and Jordan, and on the northwest by Syria .
Iraq's 171,554 square miles are divided into four major geographical areas. The main one, having almost 75 percent of the population, is the alluvial plain or delta lowlands. Stretching from north of Baghdād, the capital, past Al Başrah to the Gulf, this area is watered by the Tigris and Euphrates Rivers which rise in the Armenian Mountains of eastern Turkey. The rivers approach to within 40 miles of each other near Baghdād, diverge before joining to form the Shatt al-Arab north of Al Başrah, and then flow together with the Karun into the Gulf. An estimated 25 billion cubic feet of silt a year is carried down stream by these rivers to add to the delta.
As well as being the legendary locale of the Garden of Eden , the region contains the ruins of Ur, Babylon, and countless other ancient cities. The plain is quite flat—average altitude is 75 feet—and encompasses about 7,500 square miles of marshland to the north of Al Başrah. In spite of the fertility of the area irrigated by the rivers, over three-fourths of it is arid desert.
The second area is the western plateau, an extension of the Arabian Peninsula, which marks the region to the west and south of the Euphrates, extending into Jordan and Syria. Comprising more than half of Iraq's total area, it is home to only one percent of the population. The land here is not sandy; it is primarily dust and gravel. Sand dunes exist, but they are not dominant. The average altitude is about 400 feet. Irrigation is limited to sparsely scattered wells. The most heavily populated part of the area is in a depression in the plateau west of the Euphrates between Hit and Najaf, running in a southerly direction from Ar Ramādi to Kerbala. The depression is divided into two basins, Habbaniya in the north and Abu Dibbis in the south.
The third geographical area is the Jazira, or island, formed by the upper reaches of the Tigris and Euphrates and their tributaries. Both undulating plains and flat country are found in the region, as well as a basalt chain—50 miles long and 4,800 feet high—west of Al Mawşil.
The fourth area consists of the mountains to the east of the Tigris in the north of Iraq, which rise from 700 feet near the river bank to nearly 12,000 feet on the Iraq-Turkey-Iran border. This is an extension of the Alpine system which runs southeast through the Balkans , the Taurus Mountains of southern Turkey, northern Iraq and Iran, and into Afghanistan , finally ending in the Himalayas . East of Kirkūk and Arbil, the land is very rocky until the Plains of Sulaimaniya are reached.
Baghdād is located almost in the geographical center of Iraq. Just north of the city, the alluvial plain begins, extending southward through the marshlands to the Gulf. Climatically, the Baghdād area is comparable to the extreme southwestern United States and northern Mexico, with hot, dry summers, cold (but rarely freezing) winters, and pleasant spring and fall seasons. Maximum daytime temperatures in summer (May through September) occasionally reach as high as 130°F, but are generally between 115° and 120°F. The low humidity (5-25%) and 20°F drop in temperature at night result in more comfortable weather than that found in tropical humid regions.
Population
About 75 to 80 percent of the approximately 23.2 million Iraqis are of Arab stock. The largest ethnic minority are the Kurds, who comprise 15 to 20 percent of the population. Although the Kurds are mostly Muslims, they differ from their Arab neighbors in language, dress, and customs. Other distinctive ethnic communities include Assyrians, Turkmans, Chaldeans, and Armenians.
About 97 percent of the population is Muslim ; Iraq is the only Arab country in which most Muslims are members of the Shi'ite sect. There are also small communities of Christians , Jews , Mandaeans, and Yazidis.
Arabic is most commonly spoken and is the country's official language; English is the most commonly used Western language.
Government
Iraq's role in the Middle East has undergone several significant changes since World War II. The July Revolution of 1958 ended Hashemite rule in Iraq, the country's participation in the Baghdād pact (now called CENTO), and its traditional ties with the West.
Foreign policy, which followed a neutralist line under Qasim from 1958 to 1963, was identified with the cause of Arab unity after the Ba'ath ( Renaissance ) Party came to permanent power in 1968. Iraq entered into a treaty of friendship with the Soviet Union in 1972, and the Ba'ath and Communist parties formed a Nominal coalition with a Kurdish party. In 1979, the Communist Party was removed from the coalition.
Iraq is governed by the Revolutionary Command Council (RCC), consisting of nine of civilian and military members and chaired by the President. The RCC enacts legislation, which is then ratified by the National Assembly. The RCC's President (chief of state and supreme commander of the armed forces) is elected by a two-thirds majority of the RCC. The current president is Saddam Hussein, who took office in July 1979. A 29-member Council of Ministers (Cabinet), appointed by the RCC, has administrative and some legislative responsibilities. A 250-member National Assembly was elected on June 20, 1980, in the first elections since the end of the monarchy; the last election was held in March 1996 (only candidates loyal to Saddam Hussein were allowed to run). No real opposition party exists. A new constitution was drafted in 1990 but not adopted. Iraq is divided into 18 provinces, each headed by a governor with extensive administrative powers.
Iraq's judicial system is based on the French model, which was introduced during Ottoman rule. It does not serve as an independent branch of government as in the United States. There are three different courts: civil, religious, and special. The Court of Cassation is the last court for appeals. National security cases are handled by the special courts. Iraq is essentially a one-party state and the press is limited to a few newspapers published by and expressing the views of the government.
After years of precarious relations with Iran over control of the Shattal-Arab Waterway that divides the two countries, war erupted in September 1980 when Iraqi planes bombed Iranian airfields and Iran retaliated. Ground fighting began and Iraqi troops crossed the border but were driven back in May 1982. In 1984, both countries attacked tankers in the Persian Gulf , including an Iraqi attack of the U.S.S. Stark which killed 37 U.S. Navy personnel. Warfare ended in August 1988 when a United Nations ceasefire resolution was accepted. In August 1990, Iraq attacked and invaded neighboring Kuwait; declared it a province and precipitated an international crisis. The United Nations called for economic sanctions in Iraq. When Iraq did not withdraw its troops from Kuwait by the U.N. deadline of January 16, 1991, a multi-national force (including the United States) launched an attack on Iraq. In February after cease-fire attempts were rejected by both sides as unacceptable, the multi-national coalition began a ground offensive with the aim of liberating Kuwait. Iraqi troops offered little resistance and were quickly defeated. On March 3, Iraq accepted defeat and agreed to ceasefire terms.
After the war, internal revolts against Saddam Hussein's government by the Shi'ites in southern Iraq and Kurds in the northern provinces were suppressed by Iraqi armed forces. One to two million Kurds fearing for their safety fled across the border into Iran and Turkey. To help solve this refugee crisis, other countries stepped in to establish "safe havens" for Kurdish population within Iraq and many Kurds returned.
After the war, the United Nations imposed economic sanctions on Iraq and mandated the dismantling of certain Iraqi weapons and missile programs. In 1996, the United Nations brokered a deal with Iraq that would allow it to sell a limited quantity of oil to pay for critical civilian needs. In late 1997, Saddam Hussein expelled ten Americans who were working as weapons inspectors for the United Nations, thus obstructing the disarmament process. The United States sent 30,000 troops to the Persian Gulf to prompt Iraq into submitting to the United Nations' resolutions. Tensions mounted and a military confrontation seemed imminent. In February 1998, United Nations Secretary General Kofi Annan went to Iraq and persuaded the Iraqi government to cooperate.
The flag of Iraq is made up of red, white, and black horizontal bands. In the central white band are three green stars arranged horizontally. The words Allah Akhbar (" God is Great") in green Arabic script were added between the stars during the Persian Gulf War in 1991.
Arts, Science, Education
Iraq's cultural life is centered in Baghdād, arguably the second most important Arab capital after Cairo . Once confined to a small group of the more Westernized and well-to-do Iraqis, cultural participation by ordinary citizens and official patronage has increased. The most vigorous activity is in fine arts. The Iraq Museum of Modern Art has organized an extensive permanent collection of the work of Iraqi artists. In Western classical music, the government-subsidized Iraq National Symphony and its chamber ensemble offer about eight different programs during the winter months. A number of special presentations are sponsored by foreign embassies and cultural institutions. Occasional Arabic language dramatic productions are given at the National Theater and at the Mansour Theater.
In keeping with Iraq's ambitious national development program, the government before the Gulf War awarded thousands of scholarships to many U.S. and other foreign universities, with heavy emphasis on engineering and the sciences. Iraqis are proud of their rich scientific heritage from Islamic and pre-Islamic times, and the government wanted to increase modern manifestations of this heritage. Six years of primary school is compulsory and there are plans to extend it to nine years. Secondary education is available for six years. Public education is free; private schools were abolished in 1970s. Adult literacy is currently estimated to be 58% (1995 est.).
Archaeology attracts the interest of many members of the foreign community. A number of archaeological digs are in progress, and the Iraq Department of Antiquities has undertaken major restorations of some principal sites. Iraq's superlative collections of Mesopotamian antiquities are on display at the excellent Iraq Museum.
Commerce and Industry
The long war with Iran (1980-1988) resulted in considerable debt and post-war reconstruction funds were needed to repair industrial and oil installations, as well as, damage to the physical infrastructure around the southern city of Al Başrah. Economics, especially the shortage of hard currency, was the driving force behind Saddam Hussein's invasion of Kuwait. However, the war over Kuwait resulted in severe economic damage to Iraq—considerably more than the years of war. The loss of trade, investment, economic assistance, and the many foreign workers who left the country because of the war resulted in economic problems that have persisted for many years.
Iraq has a state-controlled economy with a small private sector. The economy is heavily dependent on oil and refined products; 95% of export earnings come from this source. Iraq has the second largest oil reserves in the world and was the second largest Organization of Petroleum Exporting Countries (OPEC) producer after Saudi Arabia. Since 1972, the government has gradually nationalized all the oil fields in the country, in keeping with the policy that the country's resources, particularly oil, should not be under foreign control. Since 1999, Iraq was authorized to export unlimited quantities of oil to finance humanitarian needs including food, medicine, and infrastructure repair parts. Oil exports fluctuate as the regime alternately starts and stops exports, but, in general, oil exports have now reached three-quarters of their pre-Gulf War levels. Per capita output and living standards remain well below pre-Gulf War levels.
Manufacturing and agriculture play much smaller roles in the economy despite their great potential. All heavy industry is government-owned and includes iron, steel, cement, pharmaceuticals, and fertilizers. There is a trend to allow private ownership of light industrial concerns such as food processing and textiles. Iraq has a large, skilled work force. Much fertile, irrigated land is available for agricultural purposes and 30% of the work force is involved in agriculture. Iraq is one of the world's largest producer of dates; barley and wheat are the other major agricultural products.
Iraq's gross domestic product ( GDP ) is approximately $57 billion, or $2,500 per capita (2000 est.). The United Nations trade embargo established in August 1990 and the war has blocked or disrupted Iraq's trade with other nations.
The address of the Baghdād Chamber of Commerce is Mustansir Street, Baghdād, Iraq.
Transportation
During the Gulf War, many roads, railways, bridges, and ports were destroyed or damaged. Immediately after the war the only surface link to other countries was through Amman, Jordan. The Iraqi government has given the repair of roads and bridges a high priority. Baghdād is served by a limited number of international airlines as well as Iraqi Airways, the national carrier.
Iraq has intercountry rail transportation. Rail lines connect Baghdād with major cities such as Al Başrah, Arbil, and to Al Mawşil, where Istanbul (Turkey) and Europe can be reached via Aleppo (Syria). The Oriental Express travels to and from Baghdād via Turkey and Syria.
Local transportation includes taxis and buses. Americans seldom use either. Taxis, operated by both companies and private individuals, are usually available, but are difficult to find after 8 p.m. Taxis may be hired for trips out of Baghdād. Many taxis are American-made and many are not equipped with meters. Fares must be negotiated, but is easily managed once the recognized standard rates are known. Even for taxis with meters, fares should be agreed on in advance. Tipping is not expected. Some established foreigners without cars make contact with a taxi company in their vicinity and use it exclusively, paying their bills by the month. This can become quite expensive for more than a short-term arrangement.
The bus system operates on most of the main streets; however, most buses are in poor condition.
A car is essential in Baghdād, especially for a foreigner living in an outlying residential district. Markets for food and household goods are far apart, and distances between home, office, and friends can be great. Certain car colors are prohibited (black, olive, beige, tan), as are all cars with diesel engines.
An international or U.S. driver's license will expedite issuance of an Iraqi license. International driver's licenses must specifically list Iraq in order to be valid here. Third-party insurance is compulsory. Major roads have international traffic signs; driving is on the right-hand side of the road.
Communications
Iraq has a dial telephone system. Long-distance service, although poor, is normally available within the country and to nearby capitals. Satellite connections to overseas countries are usually satisfactory, although delays can be encountered in placing a call. At times, as a war-related economic move, Iraq has discontinued long distance, direct-dial service. Long distance calls must then be placed through operators and usually only placed for phone numbers on an approved list.
International airmail letters to or from the U.S. usually take eight to 12 days, although if selected for review by the censors, letters can be delayed as much as three weeks. Air Mail is more reliable than surface mail. Telex is available at the major hotels and telegrams may be sent from the telegram office in Baghdād.
Radio reception is fair. Domestic service is available in Arabic, Kurdish, and several minority languages, while external service is available in many languages. It is possible to tune in to Voice of America (VOA), British Broadcasting Corporation (BBC), Monte Carlo (Monaco), and other shortwave programs. A good shortwave set capable of worldwide reception is worthwhile. There are 16 medium-wave and 30 short-wave transmitters in the country. Baghdād has two TV stations, both government-operated. With the exception of a few English-language serials and films, its limited programs are in Arabic only (usually about eight/nine hours a day).
The state-sponsored Baghdad Observer is the only English-language paper readily available. Few Western publications are available. Occasional copies of Time and Newsweek, censored, are seen at local vendors. A subscription to European versions of these magazines, although expensive, is much more dependable. The International Herald Tribune, printed in Paris , can also be subscribed to via international mail. The delay on these publications is about five days.
Only a limited supply of books and technical journals is available. The British Council library, however, has a wide selection of fiction and nonfiction, and the International Children's Center (ICC) has a library, although not extensive, of children's books. The U.S. Interests Section maintains an informal lending library.
Health and Medicine
Baghdād has several small private hospitals where Westerners may be hospitalized in emergencies. These hospitals, however, do not offer the comprehensive medical, surgical, or diagnostic care of a large American medical center; most foreigners use medical facilities abroad.
Many well-trained and qualified doctors in nearly all the medical and surgical specialties practice in Baghdād. However, these doctors are severely overworked and are limited by the lack of development of hospitals, money in a war situation, laboratories, and well-trained nursing staffs.
Although adequate routine dental care is available, complex dental problems are usually hard to solve locally. Children requiring orthodontia should have the process initiated prior to arrival. Satisfactory follow-up care for orthodontia can be obtained in Baghdād.
No adequate diagnostic facilities exist for allergies. Those with severe or disturbing allergies should have diagnostic sensitivity procedures performed prior to arrival. Iraq's climate could severely aggravate allergies. If therapeutic allergy serum for desensitization is necessary, an adequate supply should be kept on hand.
If you require special or unusual medicines, bring your own supply. Medications are scarce and hard to find; U.S. brands are unavailable.
Sanitation is below U.S. standards; there are indiscriminate dumpings of waste and garbage. One city garbage collection per week services residential areas.
Baghdād's central water system provides adequate potable water, which is filtered in the home for drinking. The water is obtained from the Tigris River. The city water in Al Mawşil, Al Başrah, and Kirkūk is also safe to drink. It is unsafe, however, to drink untreated water in the villages.
Periodic fumigation with DDT or equivalent spray helps eliminate insect pests. The Baghdād city and health authorities have several large trucks which irregularly spray major portions of the city to reduce the number of flies and mosquitoes.
The foreign community is commonly subject to gastro-intestinal upsets. Respiratory infections and colds also are common, and often severe. They are frequently of prolonged duration and may progress to bronchitis, pneumonia, or pleurisy. These complications should be promptly and adequately treated. Children are subject to the usual childhood diseases, but generally do well in Baghdād. Hepatitis and sand fly fever are local hazards.
Skin and eye infections prevalent among the local population must be guarded against by proper habits of personal hygiene. Parasitic diseases such as hydatid cyst, amoebic and bacillary dysentery, and worms are prevalent. Bilharzia may be prevented by avoiding bathing, washing, or wading in irrigation ditches and slow-moving streams. Malaria and Baghdād boil (Cutaneous Leishmaniasis) are relatively uncommon now.
The dust-laden air may severely aggravate sinus and other respiratory tract complaints, and may cause acute irritative conjunctivitis. Baghdād also experiences smog, due mainly to brick factories and oil refineries built close to the city.
The long, hot summer can be debilitating. Since the dryness evaporates perspiration rapidly, fluid loss can be extensive. Salt tablets are helpful to those who perspire profusely. Insect bites, heat rash, and temperature extremes may be discomforting to some. Insect repellents are advised.
Like other desert areas, Iraq is an entomologist's paradise. Many varieties of insects are found year round. Sand flies are a particular nuisance during the late summer and early fall, and houseflies are plentiful throughout the year. Precautions must be taken against cockroaches, ants, and termites. The insect population of homes is kept to a minimum by small, harmless lizards which keep mainly to the upper walls and seldom bother humans. In the Middle East, they are regarded as bringing good fortune to the home.
U.S. health authorities recommend immunization against cholera (except for infants under six months), typhoid, tetanus, polio, and gamma globulin. The usual pediatric immunizations also should be updated.
LOCAL HOLIDAYS
NOTES FOR TRAVELERS
Passage, Customs and Duties
No American air carriers serve Baghdād, other airlines, including Iraqi Air, Air France, Lufthansa, and Swissair offer frequent direct flights from several European capitals. Iraqi Air prohibits hand baggage (including brief cases) on most flights.
Passports and visas are required. On February 8, 1991, U.S. passports ceased to be valid for travel to, in or through Iraq and may not be used for that purpose unless a special validation has been obtained. Please see paragraphs on Passport Validation and U.S. Government Economic Sanctions. For visa information, please contact the Iraqi Interests Section of the Algerian Embassy, 1801 P Street, NW, Washington, DC 20036, telephone 202-483-7500, fax 202-462-5066.
Without the requisite validation, use of a U.S. passport for travel to, in or through Iraq may constitute a violation of 18 U.S.C. 1544, and may be punishable by a fine and/or imprisonment. An exemption to the above restriction is granted to Americans residing in Iraq as of February 8, 1991 who continue to reside there and to American professional reporters or journalists on assignment there.
Iraq has strict customs regulations. Upon arrival, a traveler must declare any foreign currency, audio-visual equipment, satellite and cell telephones, personal computers and especially modems. There may be difficulty in obtaining a permit to take these items out when leaving Iraq. The Iraqi authorities may request the surrender of such equipment for depositing at the border (there might be difficulties in reclaiming it when leaving Iraq). Videotapes may be confiscated. Carrying firearms and pornography is forbidden. Any news publications may be regarded as hostile propaganda and confiscated. Charges of disseminating propaganda detrimental to Iraq might follow. So-called "friendly" requests for foreign periodicals and newspapers should be flatly refused. Usually cars are very thoroughly checked. Offering gifts to inspectors may result in charges of bribery, which could lead to serious consequences. Generally, export of gold, foreign currency, valuable equipment, antiquities and expensive carpets is forbidden.
All foreigners (except diplomats) are requested to take an AIDs or HIV test at the border. Sanitary conditions at the Ministry of Health border stations are questionable. You may wish to bring your own needle or try to postpone the check until your arrival in Baghdad. You may wish to have the test done ahead and carry a valid certificate.
The U.S. does not have diplomatic relations with Iraq, and there is no U.S. Embassy in Iraq. The Embassy of Poland represents U.S. interests in Iraq; however, its ability to assist American citizens is limited.
Pets
A veterinarian's certified statement of good health and a rabies inoculation is necessary for all pets brought into Iraq. Import licenses are obtained after entry. Pets are most easily brought into the country when they accompany the owner. Adequate veterinary care is available locally but animal medicines are in short supply. Commercially prepared pet food is not available and other pet supplies are very scarce.
St. George's Anglican Church in Baghdād holds services in English, and is open to all members of Protestant denominations. There is no resident minister, and activities are limited to the weekly services. There are several Catholic churches, and English-language masses are offered at St. Raphael's. English-language services are also offered at a Seventh-Day Adventist Church.
Currency, Banking and Weights and Measures
The monetary unit of Iraq is the dinar (ID), which is divided into 1,000 fils. All private foreign exchange transactions are government-controlled through the Central Bank of Iraq. Travelers checks and foreign currency are not limited, provided they are declared upon entry. Rafidian Bank, Iraq's sole commercial bank, is the only one authorized to accept foreign currency or travelers checks.
Comprehensive U.N. sanctions on Iraq, imposed following Iraq's 1990 invasion of Kuwait, prohibit all economic and financial transactions with the Government of Iraq, persons or entities in Iraq unless specifically authorized by the U.N. Since 1998, foreigners traveling in Iraq may legally exchange foreign currency in money exchange kiosks or bureaus (run privately or state banks). Payments for hotel, renting a taxi, etc. must be paid in foreign currency. No ATM machines exist.
The metric system of weights and measures is used in Iraq. The use of any other system is legally prohibited.
The time in Iraq is Greenwich Mean Time (GMT) plus three hours.
RECOMMENDED READING
These titles are provided as a general indication of the material published on this country:
Abu Jaber, Kamel S. The Arab Ba'ath Socialist Party: History, Ideology, & Organization. Syracuse, NY: Syracuse University Press, 1966.
Abdulghani, Jasmin. Iraq and Iran: The Years of Crisis. Baltimore , MD: John Hopkins University Press, 1984.
Baghdad Writer Group. Baghdad and Beyond. Washington, DC: Middle East Editorial Associates, 1985.
Batatu, Hanna. The Old Social Classes and the Revolutionary Movements of Iraq. Princeton, NJ: Princeton University Press, 1978.
El Azhary, M.S., ed. The Iran-Iraq War. New York : St. Martin's Press, 1984.
Fernea, Elizabeth Warnok. Guest of the Sheikh. New York: Anchor Books, 1969.
Ghareeb, Edmund. The Kurdish Question in Iraq. Syracuse, NY: Syracuse University Press, 1981.
Hamady, Sania. Temperament and Character of the Arabs. New York: Twayne Publishers, 1960.
Helms, Christine M. Iraq: Eastern Flank of the Arab World. Washington, DC: Brookings Institution, 1984.
Kelidar, Abbas , ed. The Integration of Modern Iraq. New York: St. Martin's Press, 1979.
Lloyd, Seton. The Archaeology of Mesopotamia. Rev. ed. New York: Thames and Hudson, 1984.
Maar, Phoebe. The Modern History of Iraq. Boulder, CO: Westview Press, 1985.
Pelletiere, Stephen. The Kurds, An Unstable Element in the Gulf. Boulder, CO: Westview Press, 1984
Roux, George. Ancient Iraq. 2nd ed. Winchester, MA: Allen and Unwin, 1980.
Stark, Freya. Baghdad Sketches. New York: E.P. Dutton, 1938.
Szaz, Z. Michael, ed. Sources of Domestic and Foreign Policy in Iraq. American Foreign Policy Institute, 1986.
Thesiger, Wilfred. The Marsh Arabs. New York: Penguin Books, 1967.
Winstone, H.V.F. Gertrude Bell. London: Jonathan Cape, 1978.
Young, Gavin. Iraq, Land of Two Rivers. London: Collins, 1980.
——. Return to the Marshes. London: Collins, 1977.
Cite this article
COUNTRY OVERVIEW
LOCATION AND SIZE.
Iraq is located in the Middle East , between Iran and Saudi Arabia . Iraq is also bordered by Jordan and Syria to the west, Kuwait to the south, and Turkey to the north. A very small sliver of the Persian Gulf (58 kilometers, or 36.04 miles) abuts Iraq on its southeast border. With an area of 437,072 square kilometers (168,753 square miles), Iraq is slightly more than twice the size of Idaho . Iraq's capital city, Baghdad , is located in the center of the country. Other major cities include al- Basra in the south and Mosul in the north.
POPULATION.
The population of Iraq is the fifth largest in the Middle East and North Africa. The population was estimated at 22,675,617 in July of 2000, an increase of 4.675 million from the 1980 population of 18 million. In 2000, Iraq's birth rate stood at 35.04 per 1,000, while the death rate was reported at 6.4 per 1,000. With a projected growth rate of 2 percent between 2000 and 2015, the population is expected to reach 38 million by the year 2030.
Some 97 percent of the population are Muslims. Shi'ite Muslims make up the majority (60-65 percent), while Sunnis comprise 32-37 percent of Muslims in the country. The remaining 3 percent is made up of Christians and other religious groups. The Kurds, descendants of Indo-European tribes who settled in Iraq in the 2nd century B.C., make up 15-20 percent of the population. Arabic is the official language, but Kurdish, Assyrian, and Armenian are also spoken.
Iraq's population growth has increased since 1993, despite the exodus of the middle class as a result of the Gulf War and the adverse effects of the United Nations (UN) economic sanctions imposed since 1991. Population growth before the 1991 Gulf War was as high as 3.6 percent annually. The government has strongly encouraged population growth. With a high fertility rate and a relatively young population, 45 percent of which is under 15 years of age, population growth is expected to remain high. Population growth dropped significantly to 1.9 percent in 1993 but resumed in recent years, with the growth rate reaching 2.98 percent in 1998. This rate suggests that the emigration of the middle class has slowed. The International Monetary Fund (IMF) also estimates that the effects of the UN sanctions have begun to fade. An estimated 1 to 2 million Iraqis live abroad, many as political exiles. The large majority of these are concentrated in Iran, after having been forced to leave in the wake of the 1990-91 Gulf War.
As in many developing countries, a majority of Iraqis live in urban areas. The population of urban areas has grown significantly since the 1960s at a rate of 5.2 percent annually. Baghdad and its suburbs are home to some 31 percent of the population. Rural-urban migration has eroded some of the ethno-religious and linguistic differences between regions, with the exception of the Kurdish minority, which is concentrated in the north. Iraqi society is dominated by tribal and familial affiliations.
OVERVIEW OF ECONOMY
Iraq's economy has suffered greatly as a result of the United Nations sanctions, imposed following Iraq's military defeat at the hands of a U.S.-led coalition that freed Kuwait after it was invaded by Iraq in 1990. The sanctions were imposed to contain militarily the regime of Saddam Hussein by ensuring that all weapons of mass destruction (such as nuclear, chemical, and biological weapons capable of killing large numbers of people indiscriminately) at its disposal are destroyed by a UN-appointed inspections committee. However, Iraq's incomplete compliance with UN resolutions pertaining to the destruction of its weapons has precluded the removal of the trade sanctions more than a decade after the war.
Iraq entered the 20th century as part of an enfeebled Ottoman Empire (a 700-year empire that spanned much of the Middle East and centered in what is now Turkey). By 1915, Iraq became a British mandate area administered by a civil government headed by a British high commissioner. In 1921, the British replaced their direct rule with a monarchy headed by King Faisal. Iraq became a sovereign independent state in 1932 after the British finally acceded to local demands for full independence. Iraq was proclaimed a republic in 1958, after the monarchy was overthrown by a military coup executed by officers under the leadership of General Abdul Karim Qasim, who became Iraq's first president. In fact, Iraq has been controlled by a series of strongmen, the latest of which is Saddam Hussein, who took power in 1979.
Oil, discovered in Iraq in the early 1950s, has made Iraq one of the world's largest oil producers. Its economy is largely dependent on the oil sector, which has traditionally accounted for about 95 percent of foreign exchange. Iraq's economy has, however, been on a downward trend since the early 1980s. Gains achieved during the initial years of the Ba'ath party (Iraq's only political party and the center of power in the country) rule were reversed as the Hussein regime sought to finance the 10-year war with Iran that broke out in 1980. As a result of the war, Iraq's oil production capabilities were curtailed, and the government's debts to Western nations for the purchase of military materiél grew considerably throughout the 1980s. Iraq sustained heavy debts as a result of its war with Iran. Accurate figures regarding Iraq's total external liabilities are hard to establish because the Iraqi government did not publish official information on its debt. In 1986, Iraq's total debt was estimated to be between US$50 billion and US$80 billion. Of this total, Iraq owed about US$30 billion to Saudi Arabia, Kuwait, and the other Gulf states. Most of this debt resulted from the sale of crude oil on Iraq's behalf. Iraq's total foreign debt today is estimated to be in the range of US$130 billion. Iraq has not made any debt payments since the United Nations' sale of its overseas assets to compensate the Kuwaiti victims of the invasion and to pay creditors.
Since 1996, Iraq has been allowed to export only a limited quantity of oil, worth US$2.14 billion every 6 months, in return for food and medical supplies to address the country's deteriorating humanitarian conditions after the war, which include a lack of clean water supplies and basic services. Of revenues accruing from the sale of oil, some 53 percent is used to finance the import of food and medicine for the Iraqi people, while 13 percent is being diverted by UN agencies to the Kurdish provinces in the north. The effects of the sanctions have led to a sharp increase in poverty and infant mortality, especially in the south, and much of the country's infrastructure is not functioning.
POLITICS, GOVERNMENT, AND TAXATION
A complex web of social, economic, ethnic, religious, and ideological conflicts has hindered the process of state formation in Iraq since it gained independence from Britain in 1932. Festering socioeconomic problems—such as widespread poverty and deep divisions between the Sunnis and the Shi'ites in the post-World War II period—were compounded by an enduring leadership crisis that continued to afflict Iraqi politics and society for more than 5 decades after independence. The political process has been characterized by deep social and political divisions that have meant that no single political group was able to gain enough support to rule the country without resorting to violence. As a result, Iraq's deep-rooted fragmentation has allowed the armed forces to exercise great control over politics since the 1930s. A total of 11 coups took place between 1936 and 1968. The Ba'ath party, which came to power in 1968, also through a military coup, has greatly shaped the country's modern history and its economic system. The party espouses the goals of socialism , freedom, and unity, and has attempted to redress widespread social inequality through the redistribution of wealth.
According to the constitution, Iraq is a republic with an elected legislature and an independent judiciary. Executive power is concentrated in the hands of the president and Council of Ministers. In reality, and owing to the revolutionary nature of Iraqi politics, all executive and legislative powers rest with the Revolutionary Command Council president (RCC). The RCC elects the president, who, in addition to being the chairman of the RCC, also serves as prime minister and commander of the armed forces. The president and the Council of Ministers are accountable to the RCC.
Since the late 1960s, the ruling Ba'ath Party has used vast oil revenues to build a modern state, although it is also one of the most highly militarized countries in the world. The Ba'ath party adopted a centralized socialist welfare system, which regulated every aspect of the economy, with the exception of the agriculture and personal services sectors. Much of Ba'ath party's ambitious plans to develop Iraq and exploit its vast oil resources were done with Soviet technical assistance. Since taking office in 1979, President Saddam Hussein pursued a state-sponsored industrial modernization program that led to a more equitable distribution of wealth, greater social mobility, improved education and health-care standards, as well as the redistribution of land. The government experimented with economic liberalization in the 1980s, which sought to ease state control of the economy and to increase commercialization in the state sector. These efforts, however, were largely unsuccessful, mainly due to a long legacy of state control and a bloated state bureaucracy that was unable to meet the challenges of reform.
Iraq's spending on defense has traditionally accounted for 25-33 percent of the state budget, even when the country was not at war with any of its neighbors. Since the early 1970s, the government has dedicated huge resources to thwart efforts by the Kurdish people to establish their own state in the northern Kurdistan region. After efforts to reach an agreement to establish a politically and culturally autonomous area in the north failed in 1975, the government waged in 1976 a costly campaign to forcibly evacuate 800 Kurdish villages along the border with Iran. This campaign to replace the Kurdish population with Arabs resumed after an 8-year hiatus during the Iraq-Iran war. At least 300,000 Kurds were deported from their villages in the north, and chemical weapons were used against Kurdish civilians at Halabjah in 1988 in which more than 5,000 Kurds were killed. Following Iraq's military defeat in 1991, U.S.-led allied forces carved out an autonomous region for the Kurds in the north, effectively separating the region from the rest of the country. Since 1991, the Iraqi Kurds have enjoyed a large degree of autonomy from the central government in Baghdad under the protection of allied forces. Nevertheless, the Kurds live in primitive conditions, often in large "tent cities," with only the barest necessities (such as food, medicine and clean water) supplied by aid agencies.
In the wake of the Gulf War and its aftermath, the Iraqi government's role in the economy is bigger than ever, as it continues to control the vast majority of imports and foreign exchange flowing into the country from the limited sale of oil allowed under the sanctions. The government, however, lacks a clear economic objective, given its primary goal since the 1990 Gulf War has been to ensure the survival of the regime in the face of international political and economic isolation. Instead of using its limited resources from oil sales to benefit the economy and expand its base, the state has redirected its efforts toward guaranteeing the continued support of the regime's chief domestic allies, mainly the merchant class and the military. This class has been both paid off and allowed to accumulate wealth illegally to ensure its continued allegiance to the state.
Taxation is not and has never been a major source of government income. Iraq's relative prosperity in the years preceding the Iran-Iraq war enabled the government to adopt a welfare system that exempted the population from paying taxes. After the 1990 Gulf War, however, the government has attempted to impose taxes to increase its revenue, but collection enforcement has been rather poor. Private sector employees are required to pay income tax , although the tax is rarely collected. State employees continue to be exempt from taxation.
INFRASTRUCTURE, POWER, AND COMMUNICATIONS
Prior to the Gulf War, Iraq's infrastructure was one of the most highly developed and extensive in the region. The government has been largely successful in its efforts to repair the severe damage the infrastructure sustained as a result of the 1990 Gulf War. The lack of resources available to the government, however, has meant that most of the repair work is substandard. In 1996, the country was serviced by a network of over 45,550 kilometers (28,304 miles) of primary and secondary roads, 38,400 kilometers (23,862 miles) of which were paved. The nation's 2,032-kilometer (1,263-mile) railway system is in good condition and connects Iraq to its neighbors to the north, Syria and Turkey.
Iraq has 2 major airports, located in Baghdad and Basra. Both airports are in fairly good condition. There are 3 smaller civil airfields at Haditha, Kirkuk and Mosul. All commercial airlines stopped service to Iraq in 1991 under the United Nations sanctions. A number of countries, mainly France , Russia , and Jordan, began sending humanitarian flights carrying food and medicine to Baghdad in mid-2000, in violation of the sanctions. These flights were sent as an expression of opposition to the continuation of the UN sanctions against Iraq. The country has 3 ports at Umm Qasr, Khawr az-Zubayr, and al-Basra, which currently have limited functionality because of the damage sustained during the Gulf War and the subsequent trade sanctions. Since 1997, most of Iraq's needs are serviced at Umm Qasr, the main point of entry for most food imports.
Communications
aData are from International Telecommunication Union, World Telecommunication Development Report 1999 and are per 1,000 people.
bData are from the Internet Software Consortium ( http://www.isc.org ) and are per 10,000 people.
SOURCE: World Bank. World Development Indicators 2000.
Electric power is supplied to Iraqis by state-owned power stations throughout the country, which have a total capacity of 17,000 megawatts of power. As a result of repeated bombings during the Iran-Iraq war and the Gulf War, power stations today can barely meet local demand, and it is estimated that in 2000, capacity in the central and southern regions supplied only 50 percent of demand. Despite the construction of 4 new power stations after the Gulf War, blackouts are common, and at least 14 central and southern provinces experience an average of 12 hours of power cuts daily. In Baghdad, 4-hour power outages are routine.
Telecommunications services in Iraq are in poor condition and are quite unreliable, mainly as a result of repeated air strikes by allied forces during and after the war. The country had 675,000 working lines in 1995. Mobile cellular service is unavailable. Internet service is available but is both costly and unreliable.
ECONOMIC SECTORS
Iraq's economic sectors reflect the state of devastation that the country has endured as a result of war. The economy has traditionally been heavily dependent on the oil sector, which accounted for more than 60 percent of the GDP before the Gulf War. The oil sector's contribution to the GDP, however, greatly diminished in the immediate years after the war, but its contribution to GDP has increased since the 1996 introduction of the United Nations oil-for-food program, which allows limited oil exports in return for food and medicine. Iraq in 1991 exported less than 10 percent of its pre-war oil export levels. By 2001, Iraq had regained three-quarters of the pre-war oil export levels. However, the UN's control of oil exports removed these revenues as a source of the GDP.
In the post-Gulf War era, services was the largest contributor to the GDP at 81 percent in 1993. Industry contributed 13 percent in the GDP, while agriculture accounted for 6 percent of the GDP. Real GDP was cut by around 63 percent in 1991, a direct result of the war and subsequent sanctions. The GDP was estimated in 1999 to be equivalent to US$59.9 billion. The country's major economic sectors witnessed a serious decline in 1990-91 because of the Gulf War, and continued allied bombardment of key Iraqi infrastructure facilities, including power generators and communications equipment. The manufacturing sector was hit by the shortage of imported raw materials and spare parts, while the collapse of the country's irrigation system in the aftermath of the war has left the agricultural sector in dire straits.
AGRICULTURE
Despite intermittent government efforts to develop the sector, agricultural production has always been a modest contributor to Iraq's economy, accounting for 7 percent of GDP prior to the 1980 Iran-Iraq war and 6 percent in 1993. Despite declining performance, however, the sector continues to employ almost one-third of the country's labor force . The agricultural sector employed 30 percent of the labor force in 1989, and although the number is believed to have declined as a result of the sector's declining performance, no hard figures are available to support this contention.
Iraq's arable land is estimated at 8 million hectares, comprising less than 15 percent of the country's total area. However, only 4 to 5 million hectares of this land is being cultivated. Arable land is mostly concentrated in the north and northeast, where winter crops—mainly wheat and barley—are grown, and in the valleys of the Tigris and Euphrates rivers.
The sector's contribution to the GDP has steadily declined since the early 1980s, despite repeated government efforts to boost agricultural production. Until the late 1980s, cultivable land was under the control of the state, the direct result of the land reforms begun in 1958. In 1988-89, in an effort to boost agricultural production, the state privatized agriculture, but the sector's weakness persisted. Further, the government continued to control the price of agricultural products, mainly to protect the urban consumer. Despite government efforts to encourage agricultural production after the Gulf War by raising the price of staple foods—especially of wheat, barley and rice—the labor-intensive sector remains in 2001 under-developed and inefficient, as a result of the high costs of energy, credit, and land and lack of investment. The problem is further aggravated by the lack of pesticides, fertilizers, and machinery. Further, competition from produce and agriculture products imported under the UN food-for-oil program, which allows the sale of a given amount of oil in return for basic foodstuffs and medicine, has also hurt the sector. In 2000, Iraq's farmers were also hit hard by the worst drought in a century. This drought devastated output and forced many farmers to ask the government to loan them the money to pay local banks back for funds they had borrowed to plant their crops, which in the summer of 2000 were failing.
Major agricultural products are cereals, including wheat and barley. Iraq is also a producer of dates, sheep and goat meat, chicken meat, and milk. Most agricultural activity is concentrated in the fertile lowlands in the Mesopotamian plains irrigated from the Tigris and the Euphrates. The Kurdish areas in the north, which have received minimal attention due to the conflict between the central government and the Kurds, remain underdeveloped and mostly dependent on rainwater. Agricultural production in Kurdish areas has improved under the UN sanctions regime, due to the distribution of fertilizers and spare parts by international agencies in those areas.
INDUSTRY
MINING.
Oil dominates the country's mining activity, and accounted for more than 60 percent of the GDP before the 1990 Gulf War. Iraq has 112,500 billion barrels in proven reserves—the second largest known reserves in the world. Prior to its war with Iran, which began in 1980, Iraq was also the second-largest exporter of oil in the world.
Oil production is concentrated in the north in Kirkuk, Jambur, Bai Hassam, Ain Zalah, Butman, and Baiji. Oil fields in the south include Rumaila and Zubeir, and until the Gulf War, oil was exported via the Gulf port at Khor al-Amaya. In addition, smaller fields can be found at Luhais, Nahr Umr, Buzurgan, Abu Ghuraib, and Jabal Fauqi. Iraqi oil exports consist of 2 types of crude. The "Kirkuk Crude," which forms the majority of exported oil, is extracted from the northern oil fields and exported via Turkey. The "Basra Light" comes from the fields in the south and is exported via the Mina al-Bakr terminal on the Persian Gulf.
Oil production and output has more than once been interrupted as a result of armed conflict, first with Iran and then with the allied forces during the Gulf War. Production before the Iran-Iraq war reached as high 3.5 million barrels a day (b/d) in 1979 but declined to 700,000-870,000 b/d with the start of the war in 1980. Although most damage to Iraq's facilities was repaired, and production was restored to 3.07 million b/d by the end of the 1980s, the Gulf War and subsequent UN sanctions imposed once more severely depressed both production and output capacity. Until 1996, Iraqi exports were forbidden under the terms of the UN sanctions, with the exception of 65,000 b/d exported to Jordan as part as a special deal worked out with the United Nations. As a result, oil production averaged only 500,000-600,000 b/d between 1990 and 1996, with the majority used for domestic consumption.
Iraq was allowed to resume partial exports in 1996, as part of the food-for-oil program designed to provide for the humanitarian needs of the Iraqi people. Oil production was estimated at 2.52 million b/d in 1999, 1.76 million of which are exported under the food-for-oil program. Local consumption accounts for 500,000 million b/d, while an estimated 166,000 million b/d are believed to be smuggled through Turkey and Iran. In June 1998, Iraq was permitted to import spare parts in the amount of $300 million every 6 months to repair its oil facilities. In December 1999, the value of imports was doubled to $600 million per 6 months, but Iraq was allowed to purchase parts only from a list of parts drawn up by the United Nations. Despite an increase in production, which reached 2.49 million b/d in July 2000, the oil sector continues to suffer from the lack of adequate investment and of the kind of Western expertise that was once available to Iraq before the war.
Before 1972, a consortium of British, U.S., French and Dutch companies virtually dominated the oil industry through the Iraqi Petroleum Company and its associates. This company was nationalized by the Iraqi government in 1972, and the U.S. and Dutch interests in the last remaining foreign oil firm—the Basra Petroleum Company—were confiscated because of their governments' pro-Israel stance during the 1973 Arab-Israeli war. The entire oil sector was nationalized in December 1975 and placed under the control of the state-owned Iraqi National Oil Company. In the late 1990s, however, and as a direct result of the sanctions, the Iraqi government has once again allowed production-sharing agreements with foreign companies, mainly Russian and Chinese, to develop the oil sector and increase production to 3.4 million b/d in the short-term and 6 million b/d in the medium-term. These agreements, however, are contingent upon the lifting of the UN sanctions, and it remains to be seen whether the United States will allow the Russian and Chinese firms to benefit from the development of the Iraqi oil sector.
In addition to oil, Iraq ranks tenth in the world in terms of proven reserves of natural gas, which are estimated at 3.1 trillion cubic meters. In 1998, Iraq's production of natural gas reached 2.9 billion cubic meters, most of which was used for domestic consumption. Natural gas is currently not being exported, although the government has recently signed agreements with Turkish companies to export 10 billion cubic meters worth of gas annually from its northern field.
Iraq also has phosphate deposits located at Akashat near its border with Syria, which are used to produce fertilizers. Sulphur deposits can also be found in Mishraq. European companies were involved in the mining of sulphur before the Iran-Iraq war, but these efforts came to a standstill during the war and have not resumed. The mining of both phosphates and sulphur has largely remained limited in scope due to the dominance of the oil sector.
MANUFACTURING.
The manufacturing sector is the second largest non-oil sector, accounting in 1993 for 13 percent of the GDP. The sector's contribution to the GDP in 2001 is hard to assess in the absence of government data about manufacturing activity in the country. Total employment in manufacturing in 1989 stood at 968,000 or 22 percent of the labor force.
Historically, the sector has been dominated by oil refining and natural gas processing industries. Refineries are situated in Baghdad, Basra, al-Hadithah, Khanaqin, Kirkuk, and Qayyarah, and by the late 1980s were producing a total of 743.3 million barrels of petroleum and 3.7 billion cubic meters (131 billion cubic feet) of natural gas per year. Since the 1970s, Iraqi companies have processed iron and steel at plants located at Khawr az-Zubayr. Other manufacturing activities include the production of advanced military hardware, tractors, electrical goods, car assembly, truck manufacture, aluminum smelting, detergents, and fertilizers.
Since the mid-1970s, Iraqi industries have been under the control of the state. The government experimented with privatization in late 1988, right after the end of its war with Iran, in an effort to boost manufacturing production. The state, however, continues to control all heavy industry, the oil sector, power production, and the infrastructure, while private investment is restricted to light industry. An important reason for the failure of the privatization program was the price controls that the government was forced to introduce following the outbreak of popular unrest over rising prices in 1989.
Overall, the sector has been characterized by mismanagement and constant policy shifts, which severely hindered its development. In the 1970s, the government encouraged the development of local food processing and building supplies industries to substitute for imports, but by the late 1970s, the government shifted its focus toward the development of heavy industries, such as iron and steel. The initiative, however, never took off. Efforts to expand the manufacturing sector came to a standstill during the Iran-Iraq war, as resources had to be reallocated to finance the war, and greater emphasis was placed on increasing the output of existing industries.
In the 1990s, the manufacturing sector has also been severely hurt by the UN sanctions and has shrunk considerably as a result. The UN closely monitors the import of industrial raw materials to ensure that implements necessary for the production of weapons of mass destruction do not enter the country. The sector has also been hurt by the lack of the foreign currency needed to purchase imported parts.
CONSTRUCTION.
The construction sector has been a major contributor to the economy for most of the last 3 decades. The sector's growth can be attributed to the government's continuous involvement since the 1970s in reconstructing war-damaged facilities or in expanding the military infrastructure. Spending on construction dropped significantly in 1991, reaching ID578 million, down from ID1.7 billion in 1990. Spending on construction, however, has been on an upward trend since 1991, reaching some ID20 billion in 1994.
SERVICES
FINANCIAL SERVICES.
Financial services in Iraq are fairly outdated. As a result of the nationalization of banks and insurance companies in 1964, all financial transactions are controlled by the government through the Central Bank of Iraq, which is responsible for issuing and monitoring all aspects of the Iraqi dinar. Black market currency dealings are prohibited but continue to take place. International banking transactions are undertaken by the Rafidain Bank, which represents the government in all transactions not undertaken by the Central Bank. The Rasheed Bank, established in 1989, deals with domestic transactions. The banking sector was liberalized in 1991, paving the way for the establishment of 6 new banks.
RETAIL.
Iraq has a poor retail sector. Baghdad's once well-developed commercial centers have been severely hurt by the UN sanctions, and the lack of imported goods has forced many of them to close in the last 10 years. The majority of shops in major cities, including Baghdad, consist of small family-owned and-run businesses. Small shops and temporary road stands also characterize the majority of towns in the interior of the country.
INTERNATIONAL TRADE
Iraq's imports have declined dramatically in the last decade, as a direct result of the UN sanctions. In 2001, Iraq's total imports were estimated at US$8.9 billion, almost 40 percent lower than their 1989 levels of US$22 billion. Iraq was not allowed to import any goods until 1997. After the conclusion of the food-for-oil agreement, Iraq's imports have been regulated by the UN, which approves all goods entering the country.
Exchange rates: Iraq
Dec 1995
3,000
Note: Rates are black market rates and are subject to wide fluctuations;Iraqi dinars have been officially fixed at 0.3109 since 1982.
SOURCE: CIA World Factbook 2001 [ONLINE].
Iraq imports a variety of goods, but food imports (wheat, rice, barley, sugar and meat) and medicine are by far the largest component of the import bill. However, the Iraqi government and its agencies control the purchase and marketing of imported goods. Before the Gulf War, Iraq imported the majority of its goods from the United States, Japan , the United Kingdom , Germany , France, Italy, Brazil and Turkey. By the late 1990s, France (19.2 percent of total imports), Australia (18 percent), China (12.5 percent), Russia (8.2 percent), and the United States (2.1 percent) are the largest exporters of goods to Iraq.
The majority of exports are dominated by oil, which accounted for about 95 percent of total sales abroad before the Gulf War. Iraq in 2000 had restored three-quarters of its pre-war oil export levels, which means that oil sales in 2001 account for around 70 percent of total exports. Other non-oil exports included fertilizers and dates. Sales of liquefied natural gas are expected to surge, but the prospects for that eventuality are far from certain. In 1999, Iraq exported the majority of its oil to the United States (US$3,879 million), the Netherlands (US$848 million), Japan (US$644 million), France (US$521 million), and Spain (US$402 million). Given its weak industrial base and the unlikely removal of the UN sanctions, oil is expected to continue to be the country's major export. Total exports in 1999 reached US$12.7 billion, with the vast majority of export earnings coming from the sale of oil.
MONEY
The value of the Iraqi dinar has declined steadily on the world market over a period of 20 years, making it increasingly harder for the average Iraqi to afford imported goods. The value of the dinar held steady until the beginning of the Iran-Iraq war, but that trend was reversed with the collapse of oil prices in mid-1980s. The dinar, which sold at ID0.3109=US$1 in 1982 (which is still the official rate set by the Iraqi government), was further weakened in the aftermath of the Gulf War, reaching a
GDP per Capita (US$)
6,300
Note: Data are estimates.
SOURCE: Handbook of the Nations, 17th,18th, 19th and 20th editions for 1996, 1997, 1998 and 1999 data; CIA World Factbook 2001 [Online] for 2000 data.
low of ID2,660:US$1 in December 1995. Despite occasional peaks, the value of the dinar against the U.S. dollar has held steady in the last 2 years at ID2,000:US$1 on the black market, the same rate sold by state banks since June 1999. However, the dinar's instability is likely to persist as a result of the uncertain political and the continuation of the UN sanctions.
Iraq has a single stock market, established in Baghdad in March 1992 in the wake of the privatization of state enterprises. Trading, however, remains thin due to the uncertain political conditions prevailing in the country.
POVERTY AND WEALTH
The UN sanctions imposed on Iraq since 1990 have severely affected the social fabric and living conditions in the country. As a result of the severe deterioration of services—including water and sanitation, health care, and education—the living standards of all Iraqis have declined. Rising unemployment and inflation , which was estimated at around 250 percent in 1995 and 135 percent in 1999, coupled with the falling purchasing power of salaries and rising prices, have deepened social divisions and inequalities, with all sectors of the society growing more impoverished. Wealth as of 2001 is concentrated in the hands of a small privileged group of regime supporters, mainly from among the military and the business community who have been allowed to benefit from the sanctions. This group is heavily involved in black market currency dealing and the smuggling of food and merchandise on a regional scale.
The economic embargo has also had an uneven impact on different Iraqi regions. Ethnic, religious, and tribal rivalries have always been the dominant feature of Iraqi society. The Sunni-dominated central government in Baghdad has historically discriminated against the Shi'ites in the south and the Kurds in the north. Systematic efforts to "Arabize" the predominantly Kurdish region in the north resulted in a rebellion in the 1970s that brought the Kurds further retribution. Under the sanctions regime, living conditions in the northern provinces that are under Kurdish control have improved, partly because the UN, rather than the government of Iraq, is administering the oil-for-food program there, and partly as a result of the infusion of higher per capita international humanitarian assistance to this region between 1991-96. The future social and economic prospects of this region, however, remain uncertain, given that the status of the region is yet to be determined.
The predominantly Shi'ite south, which witnessed an uprising against the Sunni-controlled Baghdad government in the wake of the 1991 war, has been less fortunate. The military continued its water-diversion and other projects in the south designed to displace the Shi'ite community there, known as the "marsh Arabs." Since the 1980s, the government has drained most of the southern areas by either drying up or diverting the streams and rivers, effectively cutting off water supplies to the Shi'ite community inhabiting those areas for thousands of years.
The government also limited the delivery of food, medical supplies, drinking water, and transportation to the region. The regime has used food rations allowed under the oil-for-food program to reward regime supporters and silence opponents. As a result of this policy, the humanitarian conditions of Shi'ites in the south continued to deteriorate, despite a significant expansion of the oil-for-food program after 1997.
WORKING CONDITIONS
Iraq's labor force has increased steadily since the 1970s, reaching over 6 million workers in 1998. No official statistics are available for the unemployment rate in the country, but it is widely believed that the unemployment rate has increased dramatically as a result of the war and the subsequent sanctions. Iraq suffered labor shortages in the 1980s as result of the conscription of thousands of Iraqi men in the military. Declining economic conditions forced thousands of foreign workers who migrated to Iraq for work opportunities during the war to leave after the war ended. This problem was further aggravated by the exodus of thousands of Iraqi professionals at the outset of the Gulf War. The majority of the labor force (67 percent) is concentrated in the services sector, which is dominated by the military, in comparison to only 14 percent in the agricultural sector and 19 percent in the industrial sector.
Iraq's trade unions were legalized in 1936, and although more than a dozen are in existence today, the labor movement has been largely ineffective due to the domination of the government and Ba'ath Party. In 1987, the government established the Iraqi General Federation of Trade Unions (IGFTU) as the sole legal trade federation, which is used to promote the principles and policies of the Ba'ath party among union members. Iraqi employees work a 6-day, 48-hour week, but working hours in the public sector are set by the head of each ministry. Child labor is prohibited, although children under the age of 14 can work in the agricultural sector and are encouraged to help support their families.
Although labor laws protecting the right of workers have been in place since 1958 and subsequently amended in 1964, working conditions in Iraq are not ideal. Workers do not enjoy the right to strike, as mandated by the 1987 Labor Law; do not have the right to bargain collectively; and are often arbitrarily moved from their positions for political considerations. Salaries in the public sector are set by the government, but no information is available on minimum wages. Declining economic conditions in the 1990s have forced many government employees to take second and third jobs to support themselves.
Since the 1970s, the ruling Ba'ath party has encouraged the participation of women in the labor force and much effort was exerted to improve their level of education. The percentage of women in the labor force has, however, remained rather steady in the 2 decades between 1970 and 1990, hovering at around 16.8 percent. According to World Bank figures, Iraqi women's participation in the labor force has risen consistently since the 1990/91 Gulf War, jumping from 16.6 percent in 1991 to a high of 19 percent in 1998. This increase can be best explained in terms of the harsh economic conditions that Iraqis have had to endure as a result of the war, which have forced many women to seek employment opportunities outside their homes to earn a living.
COUNTRY HISTORY AND ECONOMIC DEVELOPMENT
1917. As the Ottoman Empire collapses, Iraq comes under the control of the British.
1921. The British declare Faisal king of Iraq.
1932. Modern Iraq gains independence. A new government headed by General Nouri al-Said is formed.
1933. Ghazi, the son of King Faisal, becomes king.
1941. The Ba'ath Party is founded by 2 Syrian students, espousing the goals of socialism, freedom, and unity.
1939. King Ghazi is killed in a car accident and is succeeded by his son Faisal II.
1958. Hashemite monarchy is overthrown by officers of the Nineteenth Brigade under the leadership of Brigadier Abdul-Karim Qassem and Colonel Abdul Salam Arif. Iraq is declared a republic.
1963. President Abdul-Karim Qassem is overthrown by Abdul Salam Arif and a coterie of military officers in a bloodless coup.
1970. The government signs a 15-article peace plan with the Kurds after years of rebellion and conflict.
1972. Iraq and the Soviet Union sign a treaty of friendship for political and economic cooperation. Iraqi Petroleum Company is nationalized and Iraq National Oil Company is established to exploit new oil concessions.
1979. President Bakr resigns, and Saddam Hussein officially replaces him as president of the republic, secretary general of the Ba'ath Party Regional Command, chairman of the RCC, and commander in chief of the armed forces.
1979. Shah of Iran is overthrown.
1980. Iran-Iraq War begins.
1988. Government launches privatization program to spur economy.
1990. Iraq invades Kuwait.
1991. Iraq is defeated by allied forces. United Nations sanctions are imposed.
1997. Iraq is permitted to export limited amounts of oil in return for food and medicine.
FUTURE TRENDS
Iraq entered the 21st century under a cloud of great uncertainty. Despite the large sums of money that have entered the government's coffers from the sale of oil in the last 50 years, Saddam Hussein's legacy of war, first with Iran and then as a result of the invasion of Kuwait, has left the economy in ruins. The country's economic and social achievements during the 1970s and 1980s have been completely lost. Despite the food-for-oil program approved by the United Nations in 1997, the Iraqi economy will continue to suffer as a result of the sanctions.
Further, the prospects for the lifting of the United Nations sanctions remain uncertain, given that their termination has been made conditional upon the removal of President Saddam Hussein from power. Even after the sanctions are lifted, it is estimated that Iraq will have to pay US$12 billion in debt-servicing annually and to pay for food imports, medicine, and reconstruction. The problem will be further aggravated by the massive reparations payments that Iraq will be forced to pay. Unless forgiven, Iraq's debts will continue to greatly hinder its ability to undertake large-scale reconstruction and repair needed to restore the civilian infrastructure.
Internally, the social and ethnic divisions that have long characterized Iraq are stronger than ever. Despite being greatly weakened by the Gulf War and the sanctions, the repressive Saddam Hussein regime continues to rule the country unchallenged. The country itself has been divided into 3 zones, with the center and the south remaining under the control of the Iraqi government. Meanwhile, the north, where the Kurdish minority is concentrated, has been granted, at least temporarily, the right to administer its own affairs. For the last 10 years, the Kurds have enjoyed the protection of U.S. and British forces against potential military attacks by the Iraqi government. However, it remains uncertain whether such an arrangement can be sustained after the U.N. sanctions are lifted.
DEPENDENCIES
Iraq has no territories or colonies.
BIBLIOGRAPHY
"Another Dry Year Means Bad Harvest For Iraq." Arabia.com/Iraq.
<http://www.arabia.com/iraq/business/article/english/0,5508, 24836,00.html>. Accessed June 2001.
Arnove, Anthony, editor. Iraq Under Siege: The Deadly Impact of Sanctions and War. Cambridge, Mass.: South End Press,2000.
Batatu, Hanna. The Old Social Classes and the Revolutionary Movements of Iraq: A Study of Iraq's Old Landed and Commercial Classes and of Its Communists, Bathists, and Free Officers. Princeton, NJ: Princeton University Press, 1978.
Clawson, Patrick. How Has Saddam Hussein Survived?: Economic Sanctions, 1990-93. Washington, D.C.: Institute for National Strategic Studies, 1993.
Economist Intelligence Unit. Country Profile Iraq, 2000/2001. London: Economist Intelligence Unit, 2000.
Helms, Christine Moss. Iraq, Eastern Flank of the Arab World. Washington, D.C.: Brookings Institution, 1984.
"Kurds Despair Under West's Leaky Umbrella." Guardian Unlimited. <http://www.guardian.co.uk/The_Kurds/Story/ 0,2763,440396,00.html>. Accessed June 2001.
U.S. Central Intelligence Agency. World Factbook 2000. <http:// www.odci.gov/cia/publications/factbook/index.html>. Accessed July 2001.
—Reem Nuseibeh
Baghdad.
MONETARY UNIT:
Iraqi dinar (ID). One Iraqi dinar equals 20 dirhams, or 1,000 fils. Coins of ID1, and 1, 5, 10, 25, 50, and 100 fils. Notes are in denominations of 5, 10, 50, and 100 dinars.
CHIEF EXPORTS:
CHIEF IMPORTS: Food, medicine, manufactures.
GROSS DOMESTIC PRODUCT:
US$59.9 billion (purchasing power parity, 1999 est.).
BALANCE OF TRADE:
Exports: US$12.7 billion (1999 est.). Imports: US$8.9 billion (1999 est.).
Cite this article
Secondary: 32%
History & Background
Historical Evolution: The Republic of Iraq, aljumhuriyya al-'iraqiyya, is an Arab nation located in southwestern Asia , at the head of the Persian/Arabian Gulf. Iraq is bordered by its Arab neighbors Kuwait , Saudi Arabia , Jordan , and Syria and by non-Arab Turkey and Iran . The capital of Iraq is Baghdad , also its largest city. The land area measures 438,446 kilometers (175,378 square miles). In July 2000 the population was estimated to be more than 22.6 million. About three-fourths of Iraq's people live in the fertile area that stretches from Baghdad, following the Tigris and Euphrates rivers. The ancient Greeks named this area Mesopotamia, or "between rivers." For thousands of years, the agriculture of the area has depended on the flow of irrigation from these two sources.
The country is comprised of 18 administrative units, or governorates (muhaafatha, plural muhaafathaat ), further divided into districts and subdistricts. Iraq is a nation of varied ethnic groups and cultural heritages; Iraqis of Arab descent comprise 75.8 percent of the population, while Iraq's Kurdish peoples number 15 to 20 percent. Turkomans, Assyrians, and other groups compose the remaining 5 percent of the population. The three governorates of Arbil, Sulaymaniya, and Dohouk form the Kurdish Autonomous Region, an area of limited self-rule by Iraq's Kurdish minority. Kurdish is the official language of the Autonomous Region and is widely used as the language of educational instruction in the area. Nearly 97 percent of Iraq's people are Muslim , along with tiny groups of Christians , Jews , and Yezidis. The Muslim population is split into the Sunni (32 to 37 percent) and the Shi'a sects (60 to 65 percent). Approximately three-quarters of the population speak Arabic as their native language. Arabic is the official language of Iraq, with Kurdish, Assyrian, and Armenian spoken among their respective ethnic groups.
Iraq's natural resources give it the potential to be one of the wealthiest nations in the region and the world. A founding member of the Organization of Petroleum Exporting Countries (OPEC), Iraq possesses more than 112 billion barrels of oil—the world's second largest proven reserves. Iraq also benefits from its geography, unique in the region; two great rivers, the Tigris and the Euphrates, converge in the heart of the nation, creating a fertile alluvial plain and generous tracts of cultivatable land.
The history of Iraq has been marked by cultural ascendance comparable only to the glory of the ancient Egyptian and Greco-Roman civilizations. Mesopotamia sustained its place as an axis of learning for more than 4,000 years, attracting students, thinkers, and intellectuals from around the world. The world's first civilization developed in the area of Mesopotamia known as Sumer around 3500 B.C.E. Ancient Iraq was also the site of the Assyrian and Babylonian civilizations, extant in the period from 3500 B.C.E. to 53 B.C.E. The Code of Hammurabi, the first codified legal system, and cuneiform, the first system of writing, were both invented in what is now modern Iraq. The Arab conquest of 637 C.E. brought with it Arabic, the language of the Qur'an, and the Islamic faith. Mesopotamia was soon to be the hub of trade and culture in the Muslim world, becoming the seat of the Abbasid dynasty in 750 C.E. Saladin, or Salah Al-Din, a Kurdish warrior from Mesopotamia, defeated the Crusaders in Jerusalem in 1187. In 1258, Arab rule over the area was brought to an end by invading Mongol forces from central Asia. Mesopotamia lost its preeminence through Mongol neglect and fell into a deep decline. The Ottoman Empire 's domination of the region began in the early 1500s and continued until Britain seized Mesopotamia from the Ottomans during World War I.
Modern Political Contexts: The League of Nations, the international organization that preceded the United Nations, granted Britain a mandate over the area in 1920; Britain promptly renamed the country Iraq and installed a puppet monarchy. France , Britain, and the United States competed for dominance of the Middle East beginning after World War I, when massive oil reserves were discovered there. In 1945, the U.S. State Department described the petroleum of the region as "one of the greatest material prizes in world history." Though Britain's mandate ended in 1932 making Iraq an independent nation, the British continued to exert influence on Iraqi affairs, including a stake in national oil profits and considerable sway over the monarchy they had installed. The year 1958 saw Iraq's first modern revolution: King Faisal I was overthrown by Iraqi army officers and a republic was declared. In 1963, military officers and members of the socialist, pan-Arab Baath Party (Arabic for "resurrection") assassinated the premier, General Abdelkarim Qassem. A second revolution followed in 1968. In 1973, the Iraqi government fully nationalized the nation's oil industry and huge profits were realized, especially in light of the oil explosion of the 1970s. Saddam Hussein rose to power as president in 1980 after years of behind the scenes influence within the ranks of the Baath. The Baath Party continues to dominate contemporary Iraqi politics and government.
The recent history of Iraq is fraught with almost unabated military conflict, at a great cost to the Iraqi government and people. In 1980, Iraq invaded neighboring Iran, and an eight-year long war caused egregious losses on both sides; a cease-fire was declared in 1988 and no clear winner emerged. Conflicts with its Kurdish minorities in the north and Shi'a groups in the south have lead the Iraqi government to take such steps as: the forced resettlement and dispersal of entire communities of Iraqis; the draining of marshland integral to the way of life of its occupants; and the use of armed forces to curb opposition.
In 1990, Iraq invaded neighboring Kuwait after protracted disputes involving Iraqi debt to the Gulf state, border disputes, and accusations of illegal oil drilling. Allied forces from more than 30 nations ejected the Iraqi military from Kuwait, and Operation Desert Storm came to a halt in February 1991. In response to Iraq's invasion and occupation of Kuwait, the United Nations, led by the United States, effected a complete trade embargo on Iraq that has crippled its economy. This embargo, a form of international sanctions, legally prevents Iraq from exporting oil or importing any products, save for a small amount intended for humanitarian supplies ("Oil for Food") and reparations to Kuwait.
The Impact of Sanctions: The sanctions have become the key factor preventing the Iraqi government from recovering from its costly conflicts, rebuilding its infrastructure, and providing for its population. The sanctions prevent Iraq from selling oil and, thus, sever the most significant part of the Iraqi economy. Since 1991, Iraq's economy has shrunk by two-thirds; inflation reached 135 percent in 1999. More than 150,000 Iraqi people died as a result of the Gulf War; more than 1 million more have perished as a result of the sanctions, which some have described as genocide. The mortality rate for young children has more than doubled since 1989. Iraq's health care, social infrastructure, employment, and its ability to extend educational opportunity to its citizens, a primary goal of the Iraqi government since the late 1960s, have all been paralyzed by the trade embargo. In 1989, Iraq had a nearly 100 percent primary school enrollment rate. Once on the threshold of the first world, Iraq's standard of living has been reduced to less than that of such developing nations as Bangladesh . Any consideration of the future of this nation must take into account the sanctions' devastating effect on the Iraqi people.
Constitutional & Legal Foundations
The educational system of Iraq is legally codified in the Provisional Constitution of 1970. In this code, following the precedent of the General Education Law of 1940, primary education is compulsory and universally guaranteed to the Iraqi people. In 1976, the Compulsory Education Law was promulgated, requiring children between the ages of 6 and 15 to attend primary school. Iraq is a signatory to the 1978 Convention on the Recognition of Studies, Diplomas and Degrees in Higher Education in the Arab States.
The Iraqi government, embodied in the Revolutionary Command Council, has long made universal literacy and education a national priority; in the past free schooling was available from the primary to the graduate levels, as well as student nutrition, classroom materials, and the opportunity for graduate study abroad, all at government expense. The government highlights the eradication of illiteracy among Iraqi women as a main goal. Equal educational opportunities are offered to both genders, though some specifically target women, including literacy programs and home economics courses. The Iraqi government has passed detailed educational legislation in order to more closely hone in on areas of development and innovation. Such laws include the formation of parents and teachers' councils, schools for the gifted, teacher training centers, fine arts centers, guidelines for educational television, and the Boy Scout program.
The remarkable successes of the government in the past are due to its commitment to various national planning strategies, including long and short-range plans, and its deep investment in the modernization of Iraqi society. Iraq emphasizes innovation and technology, including computers and media, as cornerstones of its educational system. The government also seeks to consolidate the relationship between education, labor, and production. After the implementation of economic sanctions in 1990, the Iraqi government's ability to continue such ambitious programs has been severely constrained. Only one percent of the funds earned through the "Oil for Food" initiatives embodied in United Nations Resolutions 983 and 1153 (which allow Iraq to sell more than $5 billion semi-annually for food and medicine) is allotted for education.
Educational System—Overview
In 1976, a number of Arab and international education organizations participated in the Baghdad Conference for the Eradication of Illiteracy. This meeting helped produce a comprehensive national campaign against illiteracy in the nation. Compulsory Education Law 92 was passed in the same year, requiring all children between the ages of 6 and 15 to attend school; the law also stipulates that the state must provide the facilities for such learning.
Students in Iraq begin the school year in September and end in June of the following year. School is in session six days a week and closes on Friday, the Muslim Sabbath. The Iraqi educational system is largely influenced by Western educational systems, including the granting of leaving certificates or their equivalent and the use of standardized, national testing.
Education in Iraq emphasizes Modern Standard Arabic, or fusha, which differs from spoken (Iraqi) Arabic. In the Kurdish Autonomous Region, Kurdish is the main language of instruction, with Arabic and English also used. English and French are the main foreign languages studied in Iraq. Some faculties in colleges and universities, like medicine and engineering, employ English as the language of instruction. Various English language courses are offered throughout Iraq. The most popular destinations for Iraqi graduate students studying abroad in the past have been the United States and the United Kingdom .
School and general examinations are employed to assess the degree to which educational goals are being met among students. The Ministry of Education periodically assesses these methods through a special technical subcommittee, which is also tasked with the development of examinations. Passing the annual promotion exam is required in order to be promoted to the next grade level. The minimum passing grade is 50 percent on a 100 percent scale. Baccalaureate tests (national, standardized examinations) are administered in the sixth, ninth, and twelfth grades. The grading system used in secondary and higher education institutions is based on the 100 percent scale. In secondary schools, the minimum passing grade is 50 percent, while in higher education, it ranges from 50 to 59 percent.
A supreme committee of the Ministry of Education administers an educational guidance program. Provincial committees are also a part of training guidance counselors. The program's aims are to overcome instructional and psychological problems that children face in school, to help them make educational progress, and to develop methods of social interaction.
The government has highlighted religious education in recent years through a campaign to teach students about the Qur'an, the sacred text of Islam . The principles of the National Faith Campaign for the Teaching and Understanding of the Holy Qur'an are derived from the doctrines of the Qur'an itself, as well as the Sunnah (the sayings and actions of the Prophet Mohammad, as recorded by his disciples). The campaign's special curriculum starts from the first grade and ends in (preparatory) grade six.
Preprimary & Primary Education
For children aged four to five, preschools (nurseries) provide preliminary and kindergarten levels of education. Nursery and kindergarten levels teach children aged four to six years. Enrollment in nurseries and kindergartens is voluntary. Primary schools enroll students beginning at age 6 and ending at age 11; students graduate with a Primary Baccalaureate or Certificate of Primary Studies. The number of pupils in nurseries for the academic year 1997-1998 totaled 70,585, with 50.8 percent males and 49.2 percent females. The enrollment rate was 6.8 percent for this age group. The Basrah governorate has the highest enrollment, with 10.4 percent, while the Baghdad governorate had the lowest, with 1.4 percent. In 1991-1992, the enrollment rate for this age group was higher at 8.2 percent. In 1997 some 566,337 new students enrolled in grade one; they ranged in age from 5 to 10 years. Male enrollment in this group was 53.3 percent, while female enrollment totaled 46.7 percent. In 1997, approximately 12.5 percent of students in grade one had attended early childhood development programs. In 1997, a total of 3,029,386 Iraqi children were enrolled in primary school, with 55.4 percent male students and 44.6 percent females. In the same year, primary school teachers with teaching certifications numbered 111,956; they represented 78.9 percent of all primary teachers in the country. Primary school teachers with university degrees numbered 29,981, or 21.1 percent of all primary teachers. The pupil-teacher ratio is 21:1 nationwide, excluding the Kurdish areas.
Repeaters & Dropouts: Repetition continues to be a major issue in Iraq. On the primary level, the repetition rate was 14.5 percent nationwide in 1997-1998 (excluding the Kurdish Autonomous Region). The repetition rates for primary school for the same year were: grade one, 13.2 percent; grade two, 13.2 percent; grade three, 12.0 percent; grade four, 13.7 percent; grade five, 22.7 percent; and grade six, 7.2 percent.
The highest repetition rate was in grade five, with 26.3 percent of all male students and 19 percent of all female students repeating the grade. In 1997-1998, the mean rate of repetition for grades one to five equaled 17.0 percent, down from 20.1 percent in 1991-1992. The government aims to reduce the repetition rate to 4 percent by academic year 2005-2006. The rate of pupils who passed the promotion examination for grade four in 1997-1998 was 70.7 percent.
Dropout or wastage rates are computed for both students and teachers. A total of 259,125 students dropped out of primary school in 1998-1999. Many professionals have left Iraq to escape the depressed economy and shattered national infrastructure brought about by the sanctions, while many students have dropped out of school to work or due to a lack of motivation. There is a high incidence of malnutrition, anemia, and fatigue and diarrhea among students; an absence of adequate heating and cooling in school buildings aggravates such health concerns. The numbers of pupil and student dropouts in 1997-1998 were as follows: primary, 72,598; intermediate, 33,390; preparatory, 3,645; vocational, 1,919; and teacher training, 509. The overall number of dropouts was 112,061.
A total of 26,394 teachers and school staff quit by 1997-1998. The Ministry of Education reported a shortage of 624 teachers for the kindergarten level in 1998-1999, with a projected shortfall of 963 by 2005-2006. By the same academic year, the total primary teacher shortage is expected to reach 12,037 teaching professionals.
The learning plan for the elementary stage in Iraq includes the following subjects for all grades one through six: Islamic education, Arabic language and calligraphy, mathematics, science, technical education, physical education, and singing and music. English is studied in grades five and six along with history, geography, and family education. Civics is studied in grades four through six while social education is studied in grades one through four. In grades one through three, students take a total of 32 classes, while those in grades four through six take 34 classes.
In addition, the Christian religion is taught for two periods in schools where the majority of the student population is Christian. Agricultural education in rural schools is taught for two periods in grades four, five, and six. Workshops that train students in manual, technical, and athletic skills are arranged beyond regular school hours as extracurricular activities. In 1998, the number of school libraries totaled 6,594.
Special education is provided to below average students by way of special classes annexed to various elementary schools in the governorates. In 2000, the number of classes ranging from grades one to four was reported to be 383, with 3,360 pupils and 463 teachers.
The trade sanctions have had a deeply deleterious effect on all phases of education in Iraq. Approximately 40 percent of Iraq's schools, some 4,157 structures, were destroyed in the aftermath of the Gulf War; total damage to the educational infrastructure is estimated at 214,626,319 Iraqi dinars. The embargo prevents the purchase of materials to repair these buildings, though United Nations/UNESCO efforts have mended and updated some structures and provided some students with books and chalk. In 1998, some 3,981 school buildings still needed repair. In 1979-1980, the number of primary school buildings was 9,460—9,053 were government buildings and 407 were rented. In 1997-1998, there were 7,419 government buildings (153 were rented). The supply of textbooks is extremely limited; the Ministry of Education has implemented a plan where students use 50 percent new texts and 50 percent used texts, while utilizing a textbook exchange program between schools.
Communicable diseases and malnutrition are rampant, preventing many children from being able to attend school. In 1995, only 41.5 percent of those enrolled in primary schools reached the fifth grade. Many students must drop out and take up jobs in order to support their families, or they simply lack the drive to continue their studies.
Secondary Education
Secondary education is divided into two three-year cycles. The intermediate cycle follows a common curriculum and culminates in the Third Form Baccalaureate or Certificate of Intermediate Studies; this level enrolls students from the ages of 12 through 14. The preparatory cycle follows the intermediate cycle. In the general academic schools, the preparatory cycle requires students to choose a specialization; one of two tracks is chosen after the fourth year in secondary school. Students choose scientific or literary studies, both leading to the adadiyah, or Sixth Form Baccalaureate. Vocational secondary education is divided into agricultural, industrial, veterinary, or commercial studies. Courses lead to a Vocational Baccalaureate. After the intermediate cycle, a student may also enroll in a teacher-training institute for a degree in primary education; the period of study is two years.
The learning plan for the intermediate phase includes the following subjects for all grades one through three: Islamic education, Arabic language, English language, history, geography, civics, mathematics, technical education, and athletics/military education. In grades two and three, chemistry, physics, and biology are also studied. General science is studied in grade one, while health, algebra, and geometry are studied in grade three. In grades one through three, female students take a class called "Family Education for Girls." In this phase, all students in grades one through three take a total of 34 classes. During evening school, athletics and military training are eliminated. Vocational training is provided in some secondary schools, as an experimental plan, for two periods per week.
Higher Education
Higher education is provided by public and private universities, private colleges, and the 28 institutes operating under the auspices of the Commission of the Technical Institutes. Universities are legal entities in their own right and are controlled by the Ministry of Higher Education and Scientific Research; an internal administrative council also administers each university. Apart from the private colleges, institutions are financed by the state.
A four-year undergraduate phase follows secondary school, after which is added a tertiary phase for those wishing to pursue the Master's or doctoral degree. Most Bachelor's degrees are conferred after four years of study, while in architecture, dentistry, and pharmacy, the Bachelor's is earned after five years. In medicine, the duration of study is six years. The Master's degree requires one year of matriculation and one year of research. The Doctorate is conferred after a further three years' study beyond the Master's degree, with one year of coursework and two years of thesis preparation. Higher Diplomas are mainly conferred in medical fields and admission is based on a Bachelor's degree in the same field. A minimum 65 percent grade average is required. Some specialized institutes offer a two-year, Postgraduate Higher Diploma.
Major universities in Iraq include the University of Baghdad, the University of Mosul , the University of Basrah, the University of Mustansiriyah and Salahaddin University, all of which grant the Bachelor's, Master's and Ph.D. degrees. Salahaddin University, formerly the University of Sulaymaniyya (founded in 1968) was established in the academic year 1982-1983. It is the largest of the three universities in the Kurdish Autonomous Area, situated in the provincial capital town of Arbil.
In view of the economic sanctions and the concomitant state of financial resources in Iraq, a doctoral degree may now require eight years of study, rather than the usual three beyond the Master's degree. Iraq's professors and intellectuals have complained of being isolated from the international academic community since the embargo took effect in 1990; they are not invited to participate in international conferences, and their requests for research materials are denied. Academic materials as well as computers and other technology are banned under the trade embargo. Humanitarian supplies are slow to arrive and insufficient to meet the needs of the country.
Administration, Finance, & Educational Research
Kindergarten, primary, and secondary education are funded and supervised by wizaarat al-tarbiya, the Ministry of Education. The Ministry also administers vocational (industrial, agricultural, and commercial) and teacher's training programs. The Minister of Education leads the Ministry. According to Governmental Decree number 34 (1998), the Ministry of Education is composed of the following: the Minister's office; the offices of the under-secretaries; the legislative division; and 18 general directorates. Each is tasked with various subsets of the educational system, including planning, elementary education, educational technologies, computers, administration, financial affairs, and the production of educational materials. Committees under the direction of the Ministry of Education are responsible for functions such as general examinations, the development of educational media, program development, and the supreme board for scouts and girl guides. On the level of the muhaafatha (governorate), 11 general directorates across the country are responsible for the execution and monitoring of educational plans and the construction and maintenance of schools.
University and postsecondary education are supervised and funded by the Ministry of Higher Education and Scientific Research, including graduate study abroad. The National Foundation of Technical Institutes directs vocational training centers for the education of skilled laborers. Similar vocational instruction projects are administered by the Ministry of Labor and Social Affairs; the Ministry of Industry and Military Industrialization; the Ministry of Health; the Ministry of Transport and Communications; and the Ministry of Petroleum.
Iraq is home to a variety of international and pan-Arab educational organizations, including UNESCO's Regional Office for Education in Arab countries. It also hosted the Arabic Research and Studies Institute from the period of 1980-1990.
In 1996, Iraq's primary education expenditures totaled 7 billion Iraqi dinars. The total educational budget for that year equaled 16 billion dinars. Public expenditure on primary education is expected to reach 18 billion dinars in the year 2000, while total projected allotments on all levels of public education are predicted to reach 27 billion dinars for the same year. In 1995-1996, educational allotments were distributed as follows: kindergarten, 2.8 percent; primary education, 64.0 percent; secondary education, 27.9 percent; and vocational training, 5.3 percent.
Educational supervision is achieved through training of teachers and administrators, class visits, educational conferences, and instructional seminars. The Ministry of Education has allotted a segment of supervisors specifically for kindergartens and the elementary stage.
Due to financial and infrastructure difficulties brought on by the trade embargo, Iraqi parents were asked to provide school books and equipment for their children in school beginning in 1999. In September 2000, the Iraqi government suspended free education. The education ministry set a scale of fees ranging from 2,000 dinars for primary school to 25,000 dinars for university matriculation. These rates cover one academic year. Attendance by both teachers and students has dropped off considerably as people struggle to work various jobs to survive. Teachers earn an average of 3,500 dinars a month, worth approximately US$1.70.
Nonformal Education
In striving to achieve its intended goals of eradicating illiteracy and reaching out to urban and rural women, the Iraqi government has embraced a variety of methods. Programs specifically geared to women include labor education, health education, and agricultural training. In 1994, a program jointly administered by UNICEF and the educational ministry was implemented to educate 7,000 girls in reading, writing, arithmetic, sewing, and health issues. This program especially targets girls who have dropped out of formal schooling and exceeded its aim with an enrollment of 7,768 in the year of its inception. During the summer of 1995, a seasonal program enrolled 4,245 students in the first session and 3,077 in the second.
The educational ministry has also expanded vocational training through private institutes, allowing Iraqi students such options as printing, tailoring, and hairstyling; the Ministry of Education supervises these training programs. It has provided additional programs for slower learners, adult education classes, and even summer activities for students. In addition, professional syndicates participate in the process of nonformal education.
Distance Education: The Ministry of Education's General Directorate produces various materials for use inside and outside the classroom, including cassette tapes, colorful visual aids, and flashcards for language learning. Cassettes are also used to teach mathematics and reading at all levels. These materials are distributed to Literacy Centers, spread throughout the country, for use in Arabic and English language projects. The government makes use of these materials in nonformal settings, such as distributing these materials to drivers in Baghdad and to rural women in the countryside, with the aim of reaching a broad spectrum of Iraqi society. Cassettes and teaching materials are specifically aimed at the lowest classes, those that experience the highest level of dropout, or wastage. They are designed to provide workers, women, peasants, and military personnel with additional educational opportunity, specifically via exercises and lessons that can be done after the workday has finished. These methods foster teamwork among adult students, who are encouraged to review their work with others, especially their children and families. For this reason, the cassette and visual aid system has been most effective with regard to Iraqi women.
The education ministry sponsors a variety of educational television programs across a range of instructional levels. In 1977, a children's show called Simsim (sesame) was introduced in order to provide children too young to attend school a means of preparation for formal education, much like the American show Sesame Street. It presents reading, mathematics, and cultural material in an entertaining and lighthearted manner for a preschool audience. In 1997, Iraq devoted renewed energy to this method of teaching and exposure. Mathematics, reading, and culture are taught through programs that are broadcast twice a week to ensure the widest possible audience.
Teaching Profession
Training: The traditional teachers training program in Iraq has depended on independent training institutes in which future teachers enroll after the completion of the intermediate phase. Primary school teachers enroll in a five-year course after secondary intermediate school. Courses lead to a diploma. There also exist two-year training institutes to which students are admitted after completing the secondary phase. Most of these institutes have been converted into four-year teachers' colleges at the university level. The Colleges of Education functioning within the Universities of Baghdad, Mosul, Basrah, Al-Mustansiriyah, and Salahaddin train secondary school teachers. They offer a four-year Bachelor of Arts degree program.
In 1992-1993, many central teachers training centers were converted into teachers colleges. Institutes that specialized in Islamic education, a significant part of modern Iraqi educational philosophy, were opened.
The following describes the training activities of teachers, supervisors, educational specialists, and educational administration employees, in the context of primary and secondary education, during the period 1994-1995. In 1994, 43 courses in nurseries were taught to 195 trainees; in 1995 it was 37 courses to 1,023 trainees. In 1994, there were 904 primary education courses taught to 30,719 trainees, and in 1995 there were 1,017 courses taught to 35,470 trainees. In 1994, 504 secondary education courses were taught to 13,702 trainees; in 1995, 625 courses were taught to 19,013 trainees. In 1994, 11 vocational education courses were taught to 238 trainees; in 1995, nine courses were taught to 151 trainees. In the areas of education and specialization, 10 courses were taught to 208 trainees in 1994, while 11 courses were taught to 242 trainees in 1995.
Teaching skills and pedagogical innovation are reinforced and developed throughout teachers' careers. The Ministry of Education prepares teachers' guidebooks in order to help them develop their teaching styles. Among the activities recommended for teachers are: encouraging students to utilize problem solving methods; teaching of undertaking simplified research and reports; working on individual and collective projects; and using discussions and the exchange of opinions as teaching tools.
Summary
Since the mid-to late 1970s, Iraq has made major strides in providing universal, free, or low-cost education to its population. In recent times, the Iraqi people have been among the best educated in the Middle East, with ample opportunities for remedial education, study abroad, and graduate study. The Ministry of Education and other government organizations, as well as private institutions and organizations, have developed a comprehensive system for the planning, implementation, and review of the Iraqi educational infrastructure. Special, ongoing attention has been devoted to the eradication of illiteracy and the education of women. People's schools continue to grant primary school certificates to adults, while women have been the greatest beneficiaries of rural literacy training and outreach programs. The modernization of the nation had, until, the early 1990s, largely depended—and succeeded—on the strengthening and energizing of the educational system.
Since the outbreak of the Gulf War, Iraq's placement under international sanctions has drastically limited its ability to continue its ambitious educational and social programs. At the level of higher education, professors and academics complain of an "international boycott" that prevents them from accessing the latest materials and research sources. Government funds are unavailable for the construction of schools, hiring of faculty, purchase of textbooks and materials, and the continuation of the school nutrition program. Iraq has seen exponential rises in student absences and dropout rates, as well as teachers quitting to find other work. While the health and social infrastructures continue to deteriorate, costing thousands of lives on a monthly basis, education is often seen as the last target for humanitarian efforts. The future of Iraqi education and the nation itself appears to hinge largely on the elimination of the sanctions and the reconstruction of the country's infrastructure. Until then, any study of the country must reflect Iraq's potential as an educational superpower and the limits under which it must survive as a result of the international sanctions.
Bibliography
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Arnove, Anthony, ed. Iraq Under Siege: The Deadly Impact of Sanctions and War. Cambridge: South End Press, 2000.
Aziz, Barbara Nimri. "Scientists Outside History." Natural History (September 1996): 14-17.
The Central Intelligence Agency (CIA). The World Fact-book 2000. Directorate of Intelligence, 1 January 2000. Available from www.cia.gov .
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"Ten Years of Curbs Tell on Iraq, Scraps Free Education." The Times of India, 3 September 2000. Available from www.timesofindia.com .
UNESCO. The EFA (Education for All) 2000 Assessment. Country Reports: Iraq EFA Forum Secretariat, UNESCO. December 1999. Available from: http://www2.unesco.org/.
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——. Iraq: Education System. World Higher Education Database, 2000. Available from http://www.unesco.org .
—Nader K. Uthman
Major country of the Middle East .
Iraq , with its current political boundaries, is a new country. It is a product of the twentieth century, formed in the aftermath of World War I. The term Iraq was adopted by the government in 1921. Historians disagree about the origin of the word. The most common interpretation is that it is derived from al-Raq al-Arabi, a term used in the Middle Ages to designate the southern delta region of the Tigris and Euphrates Rivers from the al-Raq al-Ajami, the Persian Mountains. Before Iraq was established as a state, the Europeans referred to the area as Mesopotamia, a name that was given to the area by the
ancient Greeks which means the land between two rivers. It corresponds roughly to the Ottomans' provinces of Baghdad , Basra , and Mosul .
Geography and Population
Iraq covers about 169,000 square miles and is surrounded by six countries— Kuwait , Saudi Arabia , Iran , Turkey , Jordan , and Syria . It is essentially a landlocked country. The country's access to the high seas is through two major ports, Umm Qasr on the Persian Gulf and Basra, which is located at the Shatt al-Arab, the confluence of the Tigris and Euphrates Rivers. Geographically, the country is divided into four areas: the Syrian Desert in the west and southwest; the river valleys of the central and southeast areas, which contain the most fertile agricultural soil; the upland between the Upper Tigris and Euphrates Rivers; and the mountains of the north and northeast. The climate is subtropical, with long dry summers and a wide difference in temperatures between summer and winter. Rain falls mostly between the months of October and April, but not heavily.
Iraq's population of about 24 million is a mixture of ethnic and religious communities. About 95 percent is Muslim , of which 60 percent are Shiʿite. Four percent are Christians of various denominations. There are a few other small religious communities of Yazidis, Sabeans, and Jews . About 80 percent of the population is Arab. They live in an area that stretches from Basra to Mosul including the western part of the country. The Kurds represent 18 percent of the population, and they live mainly in the mountains of the northern and eastern areas of the country. The majority of the Kurds are Sunni; a small minority are Kurdish Shiʿa called Fiyliaya. The Kurds of Iraq speak two different dialects of the Kurdish language—Sorani and Karmanji. Other small ethnic communities include the Turkomen, Assyrians, Yazidis, and Armenians. Arabic is the official language of Iraq; Kurdish is used in the Kurdish area in addition to Arabic.
Baghdad, the capital of Iraq, is the largest city in the country, with a population of five million. Basra, the second largest city, has a population of more than a million and half, and is the gateway to the Persian Gulf. Mosul, in the north, is the third largest city, and has a population of more than a million. Kirkuk City, also in the north, has more than half a million people. It is situated among major oil reserves. In addition to these cities, Iraq is the site of several Shiʿite holy cities, including alNajaf, where Imam Ali is buried, and Karbala, where Imam Husayn is buried. Both cities are located on the Euphrates River southwest of Baghdad.
Oil was discovered in large quantities in 1927 near Kirkuk City. The Iraqi Petroleum Company (IPC), a consortium of the British Petroleum Company, Shell, Mobil, Standard Oil of New Jersey (Exxon), and the French Petroleum Company, was formed to manage oil production. IPC and its subsidiaries obtained concessions from the Iraqi government and had total control over oil production. The concessions covered practically the entire land area of Iraq, and they lasted for many decades. For all intents and purposes, Iraq played no role in oil development from the time it was first discovered until the 1950s. Oil production was very limited before 1950, but it began to rise in the 1950s when the Iraqi government slowly but steadily gained control over it. The production increased significantly after Iraq nationalized its oil industry in 1972. Oil production reached its peak in 1979, reaching 3.5 million barrels a day, twice the amount produced in 1971, a year before the nationalization. Since then, the production has decreased as a result of the Iran-Iraq War (1980–1988), the Gulf Crisis and War of 1991, and the invasion of Iraq by U.S. forces in March 2003. Iraq has a proven oil reserve of more than 112 billion barrels, second only to the reserve in Saudi Arabia. Since the 1950s, oil has been the mainstay of the Iraqi economy and the major source of funds for social and economic development.
Pre-Twentieth-Century History
Although Iraq is a new country, it has an extraordinarily rich and complex history. Historians and
archaeologists consider Iraq to be the cradle of civilization. It is associated with many ancient civilizations such as the Sumerians, the Akkadians, the Babylonians, the Chaldeans, and the Assyrians. It is the land of the biblical Garden of Eden and of the Hanging Garden of Babylon, the site of the first farming settlements and urban settlements and of the invention of writing and the wheel, and the home of Hammurabi (1800–1760 b.c.e.), the great lawgiver (author of the Code of Hammurabi).
In 637 c.e. Islam poured into Iraq. In 750 c .e. the Abbasids triumphed and the center of the Islamic empire shifted from Damascus to Iraq. In 762 c.e. the second caliph Abu Jaʿfar al-Mansur (754–775 c.e.) founded the new city of Baghdad as the
new capital of the empire. During the reign of Harun al-Rashid (786–810 c.e.) and his son Maʾmun (813–833 c. e.), the Abbasid Empire reached its peak in material splendor and intellectual advances. Baghdad enjoyed grand glory and prosperity as the center of Islamic culture. The city became an international trade center for textiles, leather, paper, and other goods from areas ranging from the Baltic to China . Baghdad also became a magnet for scientific and intellectual achievements. The famous Bayt alHikma Academy was established in 830 c.e. by the great patron of scholarship, Caliph al-Maʾmun. The academy included several schools, astrological observatories, libraries, and facilities for the translation of scientific and philosophical works from Greek, Aramaic , and Persian into Arabic.
The empire began to disintegrate gradually, and in 1256 Baghdad and the Abbasid caliphs were destroyed by the Mongols . The Ottoman sultan, Süleiman the Magnificent, incorporated Iraq into his empire in 1534. Thereafter, except for a period of Persian control in the seventeenth century, Iraq remained under Ottoman rule until the Ottoman Empire came to an end at the end of World War I.
Administratively, during the Ottoman rule, Iraq was divided into three provinces: Mosul, where most of the Kurds lived; Baghdad; and Basra, where most of the Arabs lived. During that period, Iraq was totally neglected and the economy was in a state of dis-array and confusion. In the second half of the nineteenth century a few Turkish governors, such as the reform-minded Midhat Paşa, introduced a few modern improvements such as the establishment of modern secular schools, reorganization of the army, creation of codes of criminal and commercial law, improvement of provincial administration, and a new system of transportation.
The British occupied Iraq during World War I. After the war, the Treaty of Sèvres placed Iraq under a British mandate. In 1921 the British established a constitutional monarchy headed by Faisal I ibn Hussein, a member of the Hashimite House (House of Hashim) of Arabia and one of the leaders of the anti-Turk Arab Revolt of 1916.
Early Nationhood
On 13 October 1932 Iraq became independent and joined the League of Nations. Between 1932 and 1941 Iraq's political situation was unstable, marked by tribal and ethnic revolts, military coups, and countercoups. In 1941 a nationalistic government assumed power, angering the British and prompting them to reoccupy Iraq and to install a pro-British government.
Between 1941 and 1958 Iraq was basically ruled by two British-oriented rulers: Nuri al-Saʿid, who assumed the office of prime minister several times; and Abd al-Ilah, the regent. From 1932 to 1958, Britain exercised significant influence over the ruling elite. During this time, modern secular education was expanded and became accessible to the general public in a limited way. Economic development was slow but gained some steam in the early 1950s when oil revenue increased. Political life was
marred by corruption and manipulation of the election process and domination by a few personalities.
After World War II , Iraq, like many other developing nations, experienced a rise in anti-imperial sentiment that demanded the reduction of British domination and the introduction of social and economic reform. These trends culminated in the nationalistic military coup of 14 July 1958. The coup was executed by the Free Officers, led by General Abd al-Karim al-Qasim, who stayed in power until February 1963. During the coup the king, the regent, and Nuri al-Saʿid were killed. This coup brought significant changes in Iraq's domestic and foreign policies. The Hashimite monarchy was replaced with a republican regime, and Iraq withdrew from the Baghdad Pact and began a foreign policy of nonalliance. The new regime initiated land reform and expanded education on all levels. It also challenged the existing profit-sharing arrangement with oil companies, and in December 1961 it enacted Public Law No. 80, which resulted in the expropriation of 99.5 percent of the IPC group's concession area that was not in production. This was also a period of political turmoil: There was an attempted coup in Mosul in 1959 and an attempted assassination of Qasim, and the Kurds launched armed rebellion against the government.
The Rise of Saddam Hussein
In February 1963 the Baʿth Party, along with nationalistic officers, seized power in a bloody coup. Nine months later, the Baʿth Party was kicked out of power by a coup led by Abd al-Salam Arif, one of the original Free Officers of the 1958 coup. On 17 July 1968 the Baʿth Party came back to power through a bloodless coup. This marked the ascendance to power of Saddam Hussein, which lasted until the U.S. invasion of Iraq in March 2003. From 1968 to 2003 Hussein dominated the political scene, even when he was vice president from 1968 to 1979. He was the undisputed leader, ruling Iraq with an "iron fist" and discouraging opposition through elimination, imprisonment, and the use of multiple security forces. For all practical purposes, all political activities outside of the Baʿth Party were outlawed.
In the 1970s Iraq nationalized its oil industry. As the price of crude oil went up, the government invested a lot of money in improving the infrastructure of the country, its education system, and social services. The Kurdish revolt reached its peak in the mid-1970s due to the support it had received from Iran, Israel, and the United States . These countries viewed Iraq as a threat. During this period, Iraq advocated Arab nationalism, adopted anti-imperialism policies, and allied itself more with Soviet Union . Also, Iraq adopted a policy against the so-called reactionary regimes of the Gulf who were allies of the United States. Therefore, Iran, Israel, and the United States were interested in destabilizing the regime through the Kurdish revolt.The attempt to quell the Kurdish rebellion in the north was unsuccessful, and in 1975 Saddam signed a treaty with the shah of Iran in which Iraq agreed to share the Shatt al-Arab with Iran in return for the ending of Iran's support of the Kurds. Within a few weeks of concluding the agreement, the Kurdish revolt was quashed, and for more than a decade, the Kurdish region was relatively quiet.
On 16 July 1979 Saddam formally assumed the presidency of Iraq. He began his presidency by eliminating a number of high-ranking members of the Baʿth Party, accusing them of plotting against him. Soon his relationship with Iran began to deteriorate in the aftermath of the Iranian Revolution (1979). A border skirmish between the two countries was used by Saddam to justify the invasion of Iran on 22 September 1980. Saddam erred in his assumption that the war was going to be quick; it lasted for eight years. Iraq was left with hundreds of thousands dead and wounded and a seriously damaged economy. Iranian bombardments of oil facilities in Iraq's south significantly impaired the oil industry, which was the mainstay of the Iraqi economy. The government shifted spending from projects of modern development to spending on the military to meet the requirements of the war. The Kurds resumed their revolt against the Iraqi government with the support of the Iranian government. By the time the Iran-Iraq War ended in July 1988, Iraq was $80 billion in debt to several countries, including Kuwait, Saudi Arabia, France , the Soviet Union, and Japan .
Between 1988 and 1990, Saddam's government struggled to put the country back in order. After the war, Saddam turned against the Kurds. His forces savaged their villages for siding with Iran during the war, forcing many of the Kurds to leave the mountains for detention centers in other parts of the country. The drop in oil prices on the international front led to serious tensions between Iraq and Kuwait. Saddam accused both Kuwait and the United Arab Emirates of conducting an economic war against Iraq by intentionally flooding the oil market by exceeding their export quotas within the Organization of Petroleum Exporting Countries (OPEC). According to Saddam, the high output of these two countries kept prices low, leading to a big reduction in Iraqi oil revenue that was sorely needed to rebuild the country.
The Kuwaiti government stubbornly refused to yield, and the U.S. ambassador to Iraq gave mixed messages—on the one hand declaring that any dispute between Arab countries was not a U.S. matter, and on the other joining Britain in encouraging Kuwait not to accommodate Iraq. Saddam's invasion of Kuwait on 2 August 1990 ultimately led to the first Gulf War, which was executed by the United States and its coalition on 17 January 1991. The war's code name was Operation Desert Storm, and it lasted for forty-three days. The United States and its allies flew more than 110,000 sorties that dropped a total of 99,000 to 140,000 tons of explosives on Iraqi targets—the firepower equivalent of five to seven of the nuclear bombs that were dropped on the Japanese city of Hiroshima during World War II. The war destroyed the infrastructure of Iraq, knocking out electricity grids, roads, bridges, communication systems, sewage and water purification systems, factories, and telephone systems. A United Nations (UN) report written shortly after the war stated that the destruction caused by the war returned Iraq to a preindustrial state.
In the aftermath, both the Kurdish ethnic community in the north and the Shiʿite Muslim community in the south revolted against Saddam's regime. The Kurds hoped to establish an independent state in the north, and the Shiʿa hoped to topple Saddam's regime and replace it with a more sympathetic government. Despite Saddam's recent defeat in the war, he was able to muster enough power to crush both rebellions. He dealt with the rebels harshly, killing thousands of people and wounding many more. Hundreds of thousands of Kurds fled Iraq to the neighboring countries of Turkey and Iran. This massive flight prompted the United States, along with Britain and France, to impose a no-fly zone for Iraqi aircraft in the north. Also, the United States, Britain, and France established a Kurdish Autonomous Zone in Iraq, which Iraqi forces were not allowed to enter, and where Kurds ruled themselves. This new arrangement allowed hundreds of thousand of refugees to return to their homes and villages. The Kurdish zone, for all practical purposes, was independent. It had its own currency, taxes, and educational system. In this area, Kurdish was the primary language and Arabic was waning as the official language.
On 6 August 1990, four days after the Iraqi invasion of Kuwait, the United Nations Security Council passed Resolution 661, imposing on Iraq the most repressive sanctions and embargo in the history of the organization. When the Gulf War ended, the United Nations Security Council passed several new resolutions concerning Iraq. Resolution 687, passed on 3 April 1991, continued the sanctions and the embargo on Iraq until it dismantled its weapons program, including all long- and medium-range missiles, and all chemical, biological, and nuclear facilities. The dismantling was to have been implemented by the Vienna-based International Atomic Energy Agency (IAEA), which had been inspecting Iraq for any possible military use of its nuclear facilities since the 1970s, and the newly established UN Special Commission (UNSCOM) under the chairmanship of Rolf Ekeus, a Swedish diplomat. Resolution 713 established a permanent UN monitoring system for all missile test sites and nuclear installations in the Iraq. Resolution 986, passed in 1992, allowed Iraq to sell $1.6 billion worth of oil every six months, subject to renewal, for the purchase of food and medicine. About one third of the money raised through the sale of oil was designated for war reparations for Kuwait and payments to the UN for its operations in Iraq. Iraq agreed in principle to the first two resolutions, but it rejected the third one on the grounds that it did not allow Iraq to control the funds realized from the sale. But by 1996 the life of the Iraqi people was approaching destitution, and the government was forced to accept the terms of Resolution 986. In 1998 the sale limit was raised to $5.52 billion worth of oil every six months, and in 1999 to $8.3 billion.
Iraq was not happy with UNSCOM's intrusive inspections, and there were confrontations between Iraqis and the inspection teams. The United States, the driving force behind the inspections, used these confrontations as grounds for bombing Iraq in 1993, 1996, and 1998. The last bombardment, codenamed Operation Desert Fox, lasted for four days. Before it began, Richard Butler, the second head of UNSCOM, withdrew the inspections teams without the authorization of the UN Security Council. The bombardment put the future of UNSCOM in doubt, and the inspectors did not return until 2002, and then under a different name. By the time of the 1998 confrontation, the UN had destroyed more than 95 percent of Iraq's weapons of mass destruction (Iraq claimed that it had destroyed the last 5 percent, but could not account for it). There were two reasons for the difficulties that the inspection teams faced: Iraq's concern that the inspection teams violated its sovereignty, and the U.S. govern-ment's misuse of some members of the inspection teams as spies.
The sanctions and the embargo begun in 1990 had a dreadful impact on Iraqi society. They hit the sanitation and health-care systems hard, and also led to the breakdown of the electric system, which contributed to chronic problems with sewage and water treatment. The sanctions also contributed to inadequate diets, resulting in malnutrition and a proliferation of diseases, which led to a high mortality rate among children. Furthermore, the sanctions led to many social ills such as homelessness of children, increased crime rates, high divorce rates, a drop in the marriage rate, and the virtual destruction of the educational system. Thousands of schools were left in a state of disrepair. The sanctions weakened the oil industry, the mainstay of the Iraqi economy, because of a lack of spare parts and a lack of investment to update oil facilities. The sanctions lasted for almost thirteen years and contributed to the deaths of more than one million people, many of them children, women, and elderly people. Two UN chief relief coordinators—Denis Halliday in 1998 and Han von Sponeck in 2000—resigned their posts in protest of the continuation of the sanctions.
The terrorist attacks on the World Trade Center and the Pentagon on 11 September 2001 marked a turning point in U.S. policy toward Iraq. The foreign policy of the Republican administration of George W. Bush was controlled by neoconservatives who advocated a regime change in Iraq. Some of the planners of the new policy were behind the passage of the Iraq Liberation Act of 1998, in which the Congress allocated $100 million to help Iraqi opposition groups in their quest to remove Saddam from power. After 11 September, the neoconservatives pushed for the removal of Saddam by military means. The UN adopted Resolution 1441, which demanded that Iraq allow the weapons inspections teams to return. There were two teams—one from the International Atomic Energy Agency, headed by Muhammad El-Baradei from Egypt , and another from the United Nations Monitoring, Verification, and Inspection Commission (UNMOVIC), headed by Hans Blix from Sweden . The new resolution gave the inspectors more freedom to operate and conduct their activities inside Iraq, and it imposed more restrictions on Saddam's regime than previous resolutions had. Iraq agreed to the resolution and emphatically denied having any weapons of mass destruction, stating that it had destroyed all of them. However, the Iraqi government could not give a full accounting of the missing items. Both heads of the inspection teams asked for more time to finish their job.
The United States and Britain refused to wait for UN consensus on the issue. The United States government continued to claim that Saddam had weapons of mass destruction and that he was a threat to U.S. and world security, and on 17 March 2003 the United States, along with Britain, initiated a military invasion against Iraq, defying world opinion. On 9 April 2003 Baghdad fell, and the occupation of Iraq began. The claims that Iraq possessed weapons of mass destruction, including biological, chemical, and nuclear weapons, turned out to be questionable. In May, under pressure from the United States, the UN Security Council adopted Resolution 1483, which legalized the result of the invasion (though most UN member nations had considered it to be illegal). On 16 October 2003 the UN adopted Resolution 1511, again under U.S. pressure, which authorized a multinational force under U.S. leadership to replace and reduce the burden on the U.S. occupying forces.
see also arab revolt (1916); arif, abd alsalam; baghdad ; baghdad pact (1955); basra ; baʿth, al-; faisal i ibn hussein; gulf war (1991); hashimite house (house of hashim); hussein, saddam; iranian revolution (1979); iran – iraq war (1980–1988); iraq petroleum company (ipc); karbala; kirkuk; kurdish autonomous zone; kurdish revolts; kurds; midhat paŞa; mosul ; najaf, al-; sÈvres, treaty of (1920); shatt al-arab; tigris and euphrates rivers; united nations special commission (unscom); war in iraq (2003).
Bibliography
Graham-Brown, Sarah. Sanctioning Saddam: The Politics of Intervention in Iraq. London: I. B. Tauris, 1999.
Mackey, Sandra. The Reckoning: Iraq and the Legacy of Saddam Hussein. New York: W. W. Norton, 2002.
Tripp, Charles. A History of Iraq. Cambridge, U.K.: Cambridge University Press, 2000.
ayad al-qazzaz
G'shur Purtaghal (Candied Citrus Peels) .................... 101
1 GEOGRAPHIC SETTING AND ENVIRONMENT
Iraq is located in southwestern Asia , in the heart of the Middle East . Its land area is comparable in size to California . There are four distinct land regions in Iraq. The Delta region is a broad plain in the southeast. To the west are the Steppe-Desert Plains, made up of sand and stony plains. The north region, between the Tigris and Euphrates Rivers, is a fertile area of grassy flatlands and rolling hills. The Zagros Mountains rise steeply in the northeast.
The climate in Iraq is as varied as the different regions, ranging from tropical in the east and southeast, to dry and desert-like in the west. The north is pleasant during summer months and freezing in the winter months. On average, Iraq is a dry country, even in the fertile lands between the rivers. In the summer, a dry, dusty wind called the shamal blasts through the country with dust storms, lasting for several days.
Since the country is so dry, there are few plants, except for the date palm, known for its fruit (dates). In fact, more than 80 percent of the world's date supply is grown in Iraq.
2 HISTORY AND FOOD
Settled between the Tigris and Euphrates Rivers, the area known as Iraq today was called Mesopotamia up until the end of World War I (1914–1918). In ancient Greek, Mesopotamia translates to "land between rivers." The first human civilization (called Sumer) is thought to have flourished here around 4000 B.C.
Although the area received little rainfall, the soil around the rivers fertilized many different crops. The rich soil, commonly referred to as the "Fertile Crescent," produced crops such as leeks, onions, lentils, wheat, and barley. Grapes also grew plentifully and were used for wine. The native olive tree was valued for both its fruit and oil. Sumerian stone tablets dating to 2500 b.c. record the usage of figs, which when cooked, were used as sweeteners in place of sugar.
3 FOODS OF THE IRAQIS
Iraqi food is so strongly influenced by its neighboring countries, Turkey and Iran , it is one of the few nations of the Middle East to lack a unique cuisine. Like the Turks , Iraqis like to stuff vegetables and eat a lot of lamb, rice, and yogurt. Like Iranians, they enjoy cooking fruits with beef and poultry.
Beef with Fruit
4 cups cooked rice
Procedure
Place the dried fruits in separate bowls and pour boiling water over them. Let sit for about 15 minutes, then drain.
In a frying pan, heat the oil and sauté the meat until browned.
Add the prunes and cook on low, uncovered, for 20 minutes.
Add the apples, apricots, seasonings, and tomato sauce.
Stir well and cook uncovered for another 10 minutes. Serve hot over rice.
Serves 8.
Although Iraq may not have a distinct cooking style, there are several dishes native to the country. Masgoof is a whole-skewered fish barbequed on an outdoor grill. Iraqis cook almost every part of an animal, from the kidneys and liver, to the brain, feet, eyes, and ears.Pacha is a slowly cooked combination of sheep's head, stomach, feet, and other parts in a broth. A popular side dish, turshi, is a mixture of pickled vegetables.
Wheat, barley, rice, and dates are the staple foods of Iraq. Sheep and goats are the most common meat, but lamb, cows, chickens, fish, and sometimes camels are eaten as well. The meat is usually cut into strips, then cooked with onions and garlic, or minced for stew and served with rice. For the majority of Iraqis who practice the Muslim religion (95 percent of Iraqis), eating pork is forbidden.
Alcohol is also forbidden to Muslims, so Western soft drinks, ice water, tea, and coffee are drunk. Coffee and tea are served before and after, but never during, a meal. Iraqis usually drink their coffee with sugar and cream or milk. The rich, dark coffee prepared in Iraq is unique. The beans are ground, then heated and cooled nine times before the coffee is served. This is believed to remove all impurities from the imported coffee.
4 FOOD FOR RELIGIOUS AND HOLIDAY CELEBRATIONS
The majority of Iraqis are Muslim, about 95 percent. Of those, 54 percent are Shi'ite, and 41 percent are Sunni. The difference between the Shi'ite and Sunni Muslims is a conflicting belief in authority dating back to the early history of the religion. The two groups, however, share the same Muslim beliefs and religious holidays.
Ways to Enjoy Dates
Mix with different nuts and chopped bananas for a snack.
Cut up and use in cookie recipes in place of chocolate chips or raisins.
The fast of Ramadan is celebrated the entire ninth month of the Muslim year. This means for the whole month, no food or water may be consumed from sunrise to sunset. Cooks (or people who are buying foods) may taste them, but they cannot be swallowed. Muslims believe fasting makes them stronger in their faith. They also believe it helps them understand how it feels to be poor and hungry. Families who can afford it slaughter a lamb and share the meat with the less fortunate.
During Ramadan, Muslims rise before dawn to eat a meal called suhur (pronounced soo-HER). Foods containing grains and seeds, along with dates and bananas, are commonly eaten because they are considered slow to digest. This helps to ease hunger during the fast, which can be as long as 16 hours in the summer. At sunset, the day's fast is broken with iftar, a meal that traditionally starts with eating a date. The rest of the meal might include assorted mezze (appetizers) such as nuts or cooked fava beans, lentil soup, bread, and fresh fruit.
Adas Bil Hamod (Lentils with Lemon Juice)
Ingredients
Procedure
In a large pot, heat the butter over medium to high heat.
Add onion, celery, and carrot and stir until soft. Add the lentils, water or stock, and salt.
Bring to a boil, then reduce heat to medium. Stir.
Let soup cook for 45 minutes to 1½ hours, or until lentils are soft, stirring occasionally.
Add more water if the soup thickens too much. Add lemon juice and cumin to taste (optional). Serve with pita bread.
Serves 6.
At the end of Ramadan comes a three-day festival called Eid al-Fitr. Friends and family gather to pray and share a large meal. In some cities, fairs are held to celebrate the end of the fast. Eating pork is forbidden to Muslims, but other meats such as beef, lamb, and fish are served on elegant platters. Other common dishes may include kebabs, yalanchi (spicy rice stuffing for eggplants or other vegetables), and ma'mounia, a dessert that dates from the 800s.
Yalanchi (Tomatoes Stuffed with Rice)
Ingredients
2 to 2½ cups cooked rice
Salt and pepper, to taste
Procedure
Preheat oven to 350°F.
Cut a slice from the top of each tomato, about ¼- to ½-inch down.
Cut the middle of the tops out (core) and finely chop the remaining tops.
Scoop out tomatoes with a spoon and turn upside down on paper towels to drain. Throw the pulp and seeds away.
Heat 2 Tablespoons oil in a large skillet over medium to high heat.
Add onion and cook until soft, about 3 minutes. Stir frequently.
Add chopped tomato tops, raisins, pine nuts, and cinnamon and mix well.
Reduce heat to low and simmer, about 2 minutes. Remove from heat and add cooked rice. Season with salt and pepper and mix gently until well blended.
Fill tomatoes with mixture and set side-by-side in a greased baking pan. Drizzle remaining oil on tomatoes so they are well greased.
Bake in oven until tender but still firm, about 25 minutes.
Serve warm or at room temperature for best flavor.
Serves 6.
Procedure
Spread each pita lightly with butter. Top with a layer of jelly.
Cut the pitas in half and serve. Khubaz is usually served as an accompaniment for salad.
Serves 12.
5 MEALTIME CUSTOMS
Hospitality is considered a highly admired asset to the Iraqis. Iraqis are known for being very generous and polite, especially when it comes to mealtime. Meals are more often a festive, casual experience than a formal one. Many Iraqis were raised to feed their guests before themselves, and to feed them well. Most Iraqis hosts feel that they are failing in their role as hosts if their guests have not tried all of their dishes. In fact, proper appreciation is shown by overeating.
A typical Iraqi meal starts with a mezze (appetizer), such as kebabs, which are cubes of marinated meat cooked on skewers. Soup is usually served next, which is drunk from the bowl, not eaten with a spoon. For gadaa and ashaa, Arabic for lunch and dinner, the meals are much alike. A simple main course, such as lamb with rice is served, followed by a salad and khubaz, a flat wheat bread served buttered with fruit jelly on top. Other popular dishes include quzi (stuffed roasted lamb), kibbe (minced meat, nuts, raisins, and spices), and kibbe batata (potato-beef casserole).
Kebabs
½ teaspoon ginger
Procedure
Measure soy sauce, oil, lemon juice, ginger, pepper, and garlic into a large mixing bowl. This is marinade; reserve about 3 Tablespoons of it to use later.
Add the meat cubes to the marinade in the mixing bowl, and stir to coat all the meat thoroughly. Cover the bowl with plastic wrap and refrigerate several hours or overnight.
Prepare vegetables. Remove meat from the refrigerator, pour off marinade, and throw away.
Assemble 6 kebabs by alternating meat cubes, green pepper, tomatoes, and mushrooms on skewers.
Brush with the marinade you set aside earlier.
Cook outdoors on a charcoal or gas grill, or broil in the oven, 3 to 4 inches from the heat source for 5 to 7 minutes.
Brush with marinade (as needed) during cooking to prevent drying.
Sprinkle with salt and pepper before serving.
Serves 6.
Dot with butter on top and bake for 30 to 40 minutes, or until golden.
Cut into squares to serve.
Serves 8.
Many Iraqi households keep pastries, desserts, and candies on hand for snacks and as gifts to visiting friends. Desserts are a favorite among the Iraqis. They can include shirini (pumpkin pudding) and baklava, a pastry made of honey and nuts layered between paper-thin sheets of dough. However, only fruits, not sweets, are eaten at the end of a meal. Candied lemon, grapefruit, or orange peels called g'shur purtaghal are very popular. Once the meal has ended, Iraqis say to one another "sahtayn," which means "two healths to you."
G'shur Purtaghal (Candied Citrus Peels)
Ingredients
Cooking spray
Procedure
Using a sharp knife or vegetable peeler, carefully peel thin strips of grapefruit and orange rind (peel). Remove only the colorful part of the peel, leaving as much pith (the bitter white skin just under the peel) as possible. Save fruit for another use.
Place the peels into a saucepan and cover with water.
Bring to a boil and cook over medium to high heat, about 10 minutes.
Drain in a strainer. Repeat this procedure 2 more times to remove the bitterness of the peel.
Pour 1¼ cups water into medium saucepan. Add 1½ cups of the sugar and stir until dissolved. Bring to a boil.
Reduce heat to medium and add peel.
Simmer, stirring frequently, until the syrup is absorbed, about 45 minutes.
Cover a cookie sheet with waxed paper and spray the waxed paper with the cooking spray.
Arrange the peels on the papered cookie sheet and cool for at least 3 hours.
Put remaining sugar into a plastic bag. Add the peels and shake until they are well covered.
Place them an another piece of wax paper and let dry overnight.
Serves 6 to 8 as a snack.
6 POLITICS, ECONOMICS, AND NUTRITION
When Iraq, led by Saddam Hussein, invaded Kuwait in 1990, it set off the Gulf War. The 15 member countries of the United Nations Security Council agreed to stop trading with Iraq (this action is called "imposing economic sanctions"). The countries hoped that if they stopped trading with Iraq, Saddam Hussein would feel pressure to cooperate with the other countries of the world. Because of the sanctions, no food was allowed to be imported into Iraq. The people of Iraq, particularly children, did not receive enough nutrition as a result.
About 15 percent of the population of Iraq is classified as undernourished by the World Bank. This means they do not receive adequate nutrition in their diet. Of children under the age of five, about 12 percent are underweight, and more than 22 percent are stunted (short for their age).
7 FURTHER STUDY
Dosti, Rose. Mideast & Mediterranean Cuisines. Tucson , AZ: Fisher Books, 1993.
Middle East. Melbourne, Oakland, CA: Lonely Planet Publications, 2000.
Osborne, Christine. Middle Eastern Food and Drink. New York : Bookwright Press, 1988.
St. Elias Church Ladies Guild. Cuisine of the Fertile Crescent. Cleveland , OH: St. Elias Ladies Guild, 1993.
Weiss-Armush, Anne Marie. Arabian Cuisine. Lebanon : Dar An-nafaés, 1993.
Web Sites
Britannica.com. [Online] Available http://www.britannica.com/ (accessed April 6, 2001).
Campaign Against Sanctions on Iraq. [Online] Available http://www.cam.ac.uk/societies/casi/guide/ (accessed April 6, 2001).
Geocities.com. [Online] Available http://www.geocities.com/Athens/Ithaca/3291/index1.html (accessed April 6, 2001).
IraqiOasis.com. [Online] Available http://www.iraqioasis.com/p4.html (accessed April 6, 2001).
Refugee Service Center. [Online] Available http://www.cal.org/rsc/iraqi/ilife.html (accessed April 6, 2001).
Cite this article
207.9
Background & General Characteristics
The Republic of Iraq is home to the Hanging Gardens of Babylon, one of the seven ancient wonders of the world. Turkey borders Iraq to the north, Iran to the east, Kuwait and the Persian Gulf to the southeast, Saudi Arabia to the south and southwest, Jordan to the west and Syria to the northwest.
In 2001 it was estimated Iraq had a population of 23.33 million. Seventy-seven percent of Iraqis are Arab, 19 percent are Kurds, and the remaining 4 percent are other ethnic groups. Iraq's Kurdish population lives in the northeastern highlands.
Iraq's official religion is Islam . A little more than 50 percent of the population is Shiite Muslims but the Sunni Muslims, who make up a little more than 40 percent of the population, tend to dominate Iraq's governmental bureaucracy. Minority religions include Christianity and Judaism . More than 80 percent of the population speaks the country's official language, Arabic. English, Kurdish, Turkish and Assyrian are among the minority languages spoken in Iraq.
Almost 42 percent of Iraq's population was below the age of 14 in 2001; 55.3 percent were 15 to 64 years of age; 3 percent were over the age of 65. Iraq's literacy gender gap is significant. Only 46 percent of Iraqi adult females are literate, while 66 percent of its adult male population is literate. Iraq's female illiteracy rate is the third highest in the world.
Iraqi society is primarily urban, with more than 70 percent of Iraqis living in urban areas. In 2001 the country's major cities were Baghdad (with a population of about 4.87 million), Mosul (1.1 million) and Irbil, (1.04 million). Baghdad is the country's capital.
Iraq was admitted to the League of Nations (the predecessor of the United Nations) after becoming a sovereign state in 1932. Iraq is a single political party republic and is governed by the Revolutionary Command Council. Saddam Hussein is president of the country, leader of the Ba'ath political party, prime minister and president of the Revolutionary Command Council, the country's highest governmental authority.
Iraq's daily newspapers are Al-Baath Alryadi, Babil, Al-Iraq, Al-Jumhuriya, Al-Qadissiya, and Al-Thawra. Newspaper circulation was 20 per 1,000 persons in 1996. Individual newspaper circulation rates were not available.
Economic Framework
In modern times Iraq has been known for its repeated violations of basic human rights, particularly of its minority populations as well as those who express any sort of political opposition to its government. Before and after being admitted to the League of Nations, Iraq disputed the international boundaries set for it by League members. Consequently Iraq entered into numerous border conflicts with Iran. The most recent Iraq-Iran war ended in 1988. In 1990 Iraq invaded Kuwait, another area over which it claimed ancient political rights. Iraqi military forces were expelled from Kuwait by U.S.-led international forces in the 1991 military operation called Desert Storm. Immediately after the Desert Storm cease-fire, Iraq launched a military offensive against the Kurdish population residing in the Iraqi northern highlands.
As part of the ceasefire conditions Iraq was to provide proof of the destruction of its biological, ballistic and nuclear weapons and development facilities. Iraq refused to allow UN weapons inspectors into the country and continued its abuse of Kurdish and other minority groups. As a result, the United Nations imposed import/export sanctions on Iraq in 1990.
The UN sanctions prohibit exports from Iraq and imports to Iraq with the exception of medicine and other essential civilian needs not covered by the import ban. Under the UN's 1996 "food for oil" program, Iraq is permitted to sell set amounts of oil to fund the purchase of food, medicines and other humanitarian goods, and equipment to repair the civilian infrastructure. Since 1998 Iraq has been allowed to purchase equipment and spare parts for the rehabilitation of its oil industry.
Due to Iraq's refusal to allow UN weapons inspectors into the country and its continued abuse of Kurdish and other minority groups, UN sanctions have continued. The UN Commission of Human Rights 2000 report indicated that women, children and men continued to be arrested and detained on suspicion of political or religious activities or because they were related to members of the opposition.
According to the British Broadcasting Company (BBC), the Iraqi government and the Ba'ath Party control or own all print media in Iraq. The party and the government also control the broadcast media. Iraq's publishing and broadcast media consist of six daily newspapers, one television service, one radio service and one satellite. All are state controlled.
Uday Hussein, son of the Iraqi president, heads an extensive media empire that supposedly includes more than a dozen weekly and daily newspapers as well as the most popular of the country's three television channels. Uday Hussein also heads the national press union.
Opposition presses such as Al-Thawra and Al-Jumhuriya operate in the northern Kurdish enclaves and on the Internet . The U.S. government has operated Radio Free Iraq since 1998.
Press Laws
Criticism of Iraq's government is prohibited and a death penalty is imposed upon anyone, including journalists, criticizing Iraq's Revolutionary Command Council or the Ba'ath party.
Censorship
The Iraqi government censors all news.
State-Press Relations
The Committee to Project Journalists and the BBC independently report that Iraq's press is entirely controlled by the Iraqi state. According to BBC News, the media does not report views opposed to the Iraqi government.
Reporters Without Borders reported that Iraqi security police arrested the editor-in-chief of an Iraqi daily newspaper in 1999 after he attempted to flee the country. The editor tried to flee Iraq because Uday Hussein had reportedly threatened him when he refused the position of manager of an Iraqi magazine. In 2001 the International Press Institute reported that about 50 Iraqi journalists fled the country due to governmental press controls.
Attitude Toward Foreign Media
Foreign media, if allowed into Iraq, is closely inspected and subject to expulsion.
News Agencies
The Iraqi News Agency (INA), located in Baghdad, is controlled by the Iraqi government and is Iraq's only news agency. The INA reduced its number of foreign offices from 48 to 15 in the period following the 1990 UN sanctions.
Broadcast Media
According to the U.S. Central Intelligence Agency, 13 television stations operated in Iraq in 1997. There were 75 televisions per 1,000 Iraqis in 1997, and 208 radios per thousand. Broadcast media, particularly radio, is the most widely used media in Iraq. According to the BBC, numerous alternative radio services are aimed at Iraq, including the U.S. government-backed Radio Free Iraq.
Electronic Media
In 2000 one Internet service provider (ISP) operated in Iraq. However, the government totally controlled access to the Internet. Numerous newspapers, such as Alef-Ba, Alwan, Al-Islam, Al-Iktisadi, Al-Ittehad, Al-Mawied, Nabdh Ashabab, Al-Raae, Al-Rafedain, Saut Alta-meem, and Al-Talabah, have Arabic language Web sites.
The Iraq Daily and the Iraqi News Agency (INA) operate Web sites with English translations. The web address for INA is www.uruklink.net/iraqnews/.
Education and Training
Iraq's major universities are the University of Baghdad (36,000 students), the University of Mosul (20,000), the University of Basrah (18,000) and the University of Salahuddin (10,000). These Iraqi universities offer bach-elor's, master's and Ph.D. degrees. Iraq's major universities offer their courses in Arabic and in English. The University of Salahuddin, located in the northern Kurdish area, offers its courses in Arabic, English and Kurdish.
In 2001 the University of Baghdad was the only university listing journalism as a course of study.
Summary
Freedom of the press does not exist in Iraq. All mass media elements are either owned and or controlled by the Iraqi government. Iraq's broadcast media provides the greatest market penetration since newspaper circulation was estimated at 20 per 1,000 Iraqis in 1996. The low literacy rate of Iraq's population may explain some of the country's low newspaper circulation rate.
Significant Dates
1990: The UN imposes import/export sanctions on Iraq.
1996: The UN's "Food for Oil" program allows Iraq to sell oil to fund food, medicine and other humanitarian goods purchases and to purchase equipment to repair the civilian infrastructure.
1998: Radio Free Iraq (operated by the United States ) begins operation.
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"World Press Freedom Review," International Press Institute. Vienna, Austria, 2002.
"Saddam Hussein's Iraq." U.S. Department of State. Washington, DC, September 1999.
U.S. Central Intelligence Agency (CIA). The World Fact-book 2002. Washington, DC, 2002.
Sandra J. Callaghan
Official name: Republic of Iraq
Area: 437,072 square kilometers (168,754 square miles)
Highest point on mainland: Mount Ebrāhīm (3,600 meters/11,811 feet)
Lowest point on land: Sea level
Hemispheres: Northern and Eastern
Time zone: 3 p.m. = noon GMT
Longest distances: 730 kilometers (454 miles) from east-northeast to west-southwest; 984 kilometers (611 miles) from south-southeast to north-northwest
Land boundaries: 3,631 kilometers (2,256 miles) total boundary length; Iran 1,458 kilometers (906 miles); Jordan 181 kilometers (112 miles); Kuwait 242 kilometers (150 miles); Saudi Arabia 814 kilometers (506 miles); Syria 605 kilometers (376 miles); Turkey 331 kilometers (206 miles)
Coastline: 58 kilometers (36 miles)
Territorial sea limits: 22 kilometers (12 nautical miles)
1 LOCATION AND SIZE
Iraq is a Middle Eastern state located on the h2rsian Gulf between Iran and Saudi Arabia. The heartland of the country, which has been known since ancient times as Mesopotamia, is the area between Iraq's two great rivers, the Tigris and the Euphrates . With an area of 437,072 square kilometers (168,754 square miles), Iraq is slightly more than twice as large as the state of Idaho . Iraq is divided into eighteen provinces.
2 TERRITORIES AND DEPENDENCIES
Iraq has no territories or dependencies.
3 CLIMATE
Summer temperatures range from 22°C to 29°C (72°F to 84°F) minimum to 38°C to 43°C (100°F to 109°F) maximum—in the shade. Temperatures higher than 48°C (118°F) have been reported, with June through August usually the hottest months. Winter temperatures range from –3°C to about 16°C (27°F to about 61°F), but have been recorded below –14°C (7°F) in the western desert. Severe winter frost is frequent in the north. Ninety percent of the precipitation falls between November and April, mostly occuring from December through March. The months of May through October are dry. Mean annual rainfall is between 10 and 17 centimeters (4 and 7 inches). Rainfall is higher in the foothills southwest of the mountains (between 32 and 57 centimeters /12 and 22 inches), and in the mountains annual rainfall reaches 100 centimeters (39.4 inches).
4 TOPOGRAPHIC REGIONS
In the north the Tigris and Euphrates Rivers pass through elevated terrain, but near the middle of the country the rivers enter a vast alluvial plain that extends to the Persian Gulf . Rugged, inhospitable mountains extend to the north and northeast; the Syrian Desert, which is almost completely uninhabited, blankets the west and southwest.
5 OCEANS AND SEAS
Iraq has a short coastline on the Persian (Arabian) Gulf between Iran and Kuwait.
Coastal Features
Iraq's short Persian Gulf coast, which has no significant indentations or bays, consists entirely of the Shatt al Arab River Delta.
6 INLAND LAKES
The many lakes in central Iraq are fed largely by the flooding of the Tigris and the Euphrates Rivers, as well as by streams and canals from these rivers. As a result, the lakes vary considerably in volume and area, depending on the flow of the rivers. In general, the largest are Ath-Tharthār, Ar-Razzāzah, and Hawr alHabbānīyah. South of Baghdad the lakes tend to be increasingly saline, reflecting the heavy silt content of the two great rivers and the poor drainage in this region.
7 RIVERS AND WATERFALLS
The Euphrates is the longest river in the country. Originating in Turkey, it flows through Syria, where it receives several tributaries before entering Iraq. Once within Iraq, it has no permanent tributaries but is fed by the wadis of the western desert during the winter rains. The Tigris also rises in Turkey and flows through a brief section of Syria before entering Iraq. It has many tributaries in Iraq, all of which enter it from the northeast. The most important are the Great Zab, Little Zab, Uzaym, and Diyala. All of these join the Tigris above Baghdad except for the Diyala, which joins it about 36 kilometers (22 miles) below the city. After the Euphrates and Tigris Rivers converge, they are known as the Shatt al Arab, which flows for roughly 193 kilometers (120 miles) southeast to the Persian Gulf. The river forms the border between Iran and Iraq for about half its length.
8 DESERTS
The area west and southwest of the Euphrates River is a part of the Syrian Desert, which also covers sections of Syria, Jordan, and Saudi Arabia. The region, sparsely inhabited by pastoral nomads, consists of a wide, stony plain interspersed with rare sandy stretches. A complicated pattern of wadis, which are watercourses that are dry most of the year, runs from the border to the Euphrates. Some wadis are more than 400 kilometers (248 miles) long and carry brief but torrential floods during the winter rains.
9 FLAT AND ROLLING TERRAIN
The alluvial plain of Mesopotamia begins north of Baghdad and extends to the Persian Gulf. The Tigris and Euphrates Rivers lie above the level of the plain in many places, held within natural embankments. During the frequent flooding of the Tigris and Euphrates Rivers, they deposit a heavy coating of silt over a wide area, forming fertile farmland.
10 MOUNTAINS AND VOLCANOES
The northeastern highlands begin just southwest of a line drawn from Mosul to Kirkūk and extend north to the borders with Turkey and Iran. High ground, separated by broad, undulating steppes, gives way to mountains ranging from 1,000 to nearly 4,000 meters (3,280 to 13,123 feet) near the Iranian and Turkish borders. The high mountains are an extension of the Zagros Mountains of Iran and include Iraq's highest peak, Mount Ebrāhīm (3,600 meters/11,811 feet).
11 CANYONS AND CAVES
The Euphrates winds through a gorge 2 to 16 kilometers (1 to 10 miles) wide in the hilly Al Jazīrah region before reaching the plains at Ar Ramādi.
The Shanidar Cave, in the Shanidar Valley of northern Iraq overlooking the Great Zab River, is a significant archaeological site where Neanderthal remains have been excavated.
12 PLATEAUS AND MONOLITHS
Iraq derives its name from the Arabic term "cliff." West of the central river plain rises a plateau that extends into Syria, Jordan, and Saudi Arabia, reaching heights of about 1,000 meters (3,281 feet). Some of this plateau is revealed in exposed cliff rock, but the boundaries between Iraq and its western neighbors are physically indistinguishable.
13 MAN-MADE FEATURES
During the twentieth century, Iraq built an extensive system of dams, barrages, canals, and irrigation systems to harness the Tigris and Euphrates Rivers for irrigation and help control their potentially disastrous seasonal flooding. Among the numerous reservoir sites are Samarra, Dukan, and Darband on the Tigris River, and Mosul and Al Hadithah on the Euphrates. Lake Al-Qādisīyah is a sizable reservoir on the Euphrates in the northwestern part of the country.
In the 1990s, Saddam Hussein's regime channeled river waters away from the marsh-lands at the confluence of the Tigris and Euphrates Rivers into the Persian Gulf for military purposes, destroying the unique ecosystem of the region. A shallow canal, called Nahar al-Aaz (the Glory River), diverts water from the Tigris; another canal, the Mother-of-All-Battles River, channels water from the Euphrates; and a third one, named Saddam's River, carries agricultural runoff to the gulf. By 2001, this diversion had destroyed an estimated 90 percent of Iraq's wetlands.
14 FURTHER READING
Books
Cockburn, Andrew, and Patrick Cockburn. Out of the Ashes: The Resurrection of Saddam Hussein. New York : HarperCollins, 1999.
Stark, Freya. Baghdad Sketches. Marlboro, VT: Marlboro Press, 1992.
Tripp, Charles. A History of Iraq. Cambridge: Cambridge University Press, 2000.
Web Sites
"Iraq." ArabNet. http://www.arab.net/iraq/iraq_contents.html (accessed April 24, 2003).
Iraq History and Culture. http://home.achilles.net/~sal/iraq_history.html (accessed April 24, 2003).
Pictures from Iraq. http://www.mit.edu:8001/activities/arab/multimedia/iraq-pictures.html (accessed April 24, 2003).
Cite this article
Iraqi
Orientation
Identification. Modern Iraq covers almost the same area as ancient Mesopotamia, which centered on the land between the Tigres and the Euphrates Rivers. Mesopotamia, also referred to as the Fertile Crescent, was an important center of early civilization and saw the rise and fall of many cultures and settlements. In the medieval era, Iraq was the name of an Arab province that made up the southern half of the modern-day country. In today's Republic of Iraq, where Islam is the state religion and claims the beliefs of 95 percent of the population, the majority of Iraqis identify with Arab culture. The second-largest cultural group is the Kurds, who are in the highlands and mountain valleys of the north in a politically autonomous settlement. The Kurds occupy the provinces of As Sulaymaniyah, Dahuk and Irbil, the area of which is commonly referred to as Kurdistan.
Location and Geography. Iraq, in the Middle East , is 168,754 square miles (437,073 square kilometers), which is comparable to twice the size of Idaho . Iraq is bordered by Iran , Jordan , Kuwait , Saudi Arabia , Syria , Turkey , and the Persian Gulf . Baghdad was the name of a village that the Arabs chose to develop as their capital and is in the central plains. The northern border areas near Iran and Turkey are mountainous and experience cold, harsh winters, while the west is mostly desert. The differences in climate have influenced the economies of the various areas and ethnic groups, especially since a large part of the economy used to be agriculturally based.
Demography. The estimated Iraqi population for 2000 is 22,675,617 people. Arabs comprise about three-fourths of the population, and Kurds compose about one-fifth. The remaining people are divided into several ethnic groups, including Assyrian, Turkoman, Chaldean, Armenian, Yazidi, and Jewish.
Linguistic Affiliation. Almost all Iraqis speak and understand their official language, Arabic. Arabic, a Semitic language, was introduced by the Arab conquerors and has three different forms: classical, modern standard, and spoken. Classical Arabic, best known by scholars, is the written language of the Qur'an. Modern standard Arabic, which has virtually the same structure in all Arabic-speaking countries, is taught in schools for reading and writing. The spoken language is Iraqi Arabic, and is extremely similar to that which is spoken in Syria, Lebanon , and parts of Jordan. Those who go to school learn Modern Standard Arabic, and many that do not attend school are likely to at least understand it. The major differences between modern standard and Iraqi Arabic are changes in verb form, and an overall simplicity in grammar of the spoken Arabic.
Kurdish is the official language in Kurdistan, and serves to distinguish Kurds from other Iraqis. It is not of Semitic origin nor an Arab or Persian dialect, but a distinct language from the Indo-European family. Other minority languages include Aramaic , Turkic, Armenian, and Persian.
Symbolism. In the 1970s a cultural campaign was launched to influence a national consciousness based on Iraq's history, including the pre-Islam era and the former glory of Mesopotamia and Babylon. The goal was to focus on a new cultural life for modern Iraq and to emphasize Iraq's uniqueness, especially in the Arab world. Archaeological museums were built in several cities, which held exhibitions and educational programs especially for children, so that they were made aware of the historical importance of their culture and nation. In order to promote this center of attention on history, several ancient sites from the city of Babylon were reconstructed, such as the Ziggurat of Aqarquf, the ruins of Babylon, the temple of Ishtar, the southern fortress of Nebuchadnezzar , and the Greek amphitheater.
The Iraqi flag is also an important national symbol, and is composed of three colored, horizontal sections, starting with red on the top, white, and black. On the white band there are three green five-pointed stars. During the Persian Gulf War in 1991, the phrase Allahu Akbar ( God is great) was added to the flag. The flag resembles other Arab countries' flags and demonstrates Iraqi faith in Allah and Arab unity.
History and Ethnic Relations
Emergence of the Nation. Starting from prehistory, the area of Mesopotamia has been under the control of several civilizations. In about 4000 b.c.e. the land belonged to the Sumerians, who built advanced irrigation systems, developed cereal agriculture, invented the earliest form of writing, a math system on which time in the modern world is based, the wheel, and the first plow. Literature was produced, including the first known recorded story, the Epic of Gilgamesh. Unlike their Egyptian counterparts who believed that all land belonged to the pharaoh, Sumerians believed in private property, still an important notion in Iraq today.
When the Sumerian civilization collapsed in about 1700 b.c.e., King Hammurabi took over the area and renamed it Babylonia . Hammurabi, a great leader known for creating the first recorded legal code in history, united the Assyrians and Babylonians in harmony. Following several changes in power, Nebuchadnezzar II came to rule from 604 to 562 b.c.e., and restored Babylonia to its former glory. Babylon, which is about thirty miles (forty-eight kilometers) south of modern-day Baghdad, became the most famous city in the world, and boasted, among other things, the Hanging Gardens of Babylon.
In 323 b.c.e. Babylonia became part of the Persian Empire, until Arab Muslims overtook it in 634 c.e. At the time of the invasion, the people of Mesopotamia were mostly Christian, and paid non- Muslim taxes to the invaders. As the Persians were eventually defeated, the people of Mesopotamia began to convert to Islam and intermarry with Arabs. In 762 c.e. the capital city of Baghdad was founded, and it became an important commercial, cultural, and educational center. It linked Asia to Mediterranean countries via trade; welcomed visitors, scholars, and commercial traders from all over the world; and produced incredible philosophical and scientific works by both Arab and Persian thinkers.
The 1200s witnessed yet another invasion, and control went to the Mongols , who ruled until the 1400s. The Ottoman Turks took control in the sixteenth century, in a reign that lasted until the end of World War I. When the Ottoman Empire was defeated in that war, the League of Nations assigned Britain to set up the administration in Mesopotamia. The British defined the territory of Iraq, and in doing so paid little attention to natural boundaries and ethnic divisions. They set up the institutional framework for government and politics, which included installation of a monarchy and influence in writing the constitution. On 14 July 1958 the monarchy was overthrown, and Iraq was declared a republic. The following ten years were followed by much political instability. Then, on 17 July 1968, another coup d'état occurred, which brought to power the Baath Party, today's government leader.
National Identity. Arab rule during the medieval period had the greatest cultural impact on modern Iraq. The dominating culture within Iraq is Arab, and most Arabs are Muslim. Iraqi Muslims are split into two groups, the Sunnis and the Shias (Shiites). The Sunnis, a majority in Islam, are a minority in Iraq, and the Shias, a minority in the Arab world, are the majority in Iraq. Between the Shia and Sunni Muslims, loyalty to Iraq has come to be a common factor. Though they have differing views, both Sunnis and Shias hold high leadership positions in the government (including the Sunni Saddam Hussein), as do some Christians .
The Arab culture, as influenced by the conquerors in the seventh century, withstood many changes of power throughout the centuries, and managed to remain influential. In the nineteenth century, while the Ottoman Empire was focusing on the "Turkification" of its people, rebels in Mesopotamia were building their Arab nationalist movement. They were granted an opportunity to act during World War I, when the British agreed to recognize Arab independence in Mesopotamia if they helped fight against the Turks . Though Iraq was subject to British mandate rule following the defeat of the Ottoman Empire, Arab nationalism stood strong. For the next few decades, even after independence from Britain, the government's attitude wavered between being pro-British and Arab nationalist. Today Iraq stands firm in its belief in pro-Arab nationalism.
Ethnic Relations. The largest minority in Iraq, the Kurds, continually battle with the majority Arabs, and the sparring between these two cultural groups has contributed to a survivalist mentality for the Kurds. The Turkomans, who populate the northern mountainous areas, also have had strained relations with the Kurds due to their historical role as buffers between Arab and Kurdish areas. Other cultural groups who are sometimes subject to the will of the Arab majority are the Yazidis, who are of Kurdish descent, but differ from the Kurds because of their unique religion. There are the Assyrians, who are direct descendents of the ancient Mesopotamian people and speak Aramaic. They are mainly Christian, and though they compose a significant minority in Iraq, the government does not officially recognize them as an ethnic group. Regarding relations with other countries, Iraq's Shias have been the traditional enemies of Persians for centuries; this contributed to Iraq fighting Iran in a costly war from 1980 to 1988 over a land dispute. The Iraqi Kurdish population is surrounded by fellow Kurds in the countries of Iran, Turkey, Syria, and Azerbaijan .
Urbanism, Architecture, and the Use of Space
Iraq's economy was once based on agriculture, which stipulated a large rural population. However, due to oil production, an economic boom hit Iraq in the 1970s, and with the change of economic basis, much of population migrated toward urban centers. Modern apartment and office buildings sprang up in Baghdad, and programs and services such as education and health care developed with the shift from rural areas to urban population centers. In addition to modernization, the influx of monetary resources allowed Iraq to do things for its cultural identity and preservation, especially in architecture. High priority was placed on restoring and building according to historic style, and the structures targeted included archaeological sites, mosques, and government buildings. Some of the traditional aspects of the architecture include rooms surrounding an open center or courtyard, and use of multiple colors, tiles, and arches.
Food and Economy
Food in Daily Life. Prior to the United Nations economic sanctions, the traditional diet included rice with soup or sauce, accompanied by lamb and vegetables. Today, because food is tightly rationed, most people eat rice or another grain sometimes with sauce. Both vegetables and meat are hard to come by. In rural areas it is customary for families to eat together out of a common bowl, while in urban areas individuals eat with plates and utensils.
Food Customs at Ceremonial Occasions. It is traditional to sacrifice a lamb or a goat to celebrate holidays. However, today few Iraqis have the means to do this, and celebrations are now minimal.
Basic Economy. Iraq's economy is currently in a difficult position. Following the 1991 Persian Gulf War, the United Nations imposed Security Council Resolution 687, which requires Iraq to disclose the full extent of its programs to develop chemical and nuclear weapons and missiles, and to eliminate its weapons of mass destruction. Until Iraq complies with these requirements, the United Nations attests that there will be an economic embargo and trade sanctions against Iraq. At first the resolution meant that Iraq could not assume trade relations with any foreign country. In 1996 the United Nations modified the sanctions and implemented the oil-for-food program, which allows Iraq to pump and sell a limited amount of oil for humanitarian purposes, with no direct exchange of cash, but rather with all transactions taking place through an offshore escrow account. Two-thirds of the proceeds are to be spent on food and medicine for the Iraqi people; the remaining third is to be directed to victims of Iraq's occupation of Kuwait.
Prior to the sanctions, Iraq imported about 70 percent of its food. However, food shortages have forced people to grow their own, but given the severity of the economic situation of the country, it is difficult for Iraqis to find the means to do this. Items that are imported through the oil-for-food program are distributed to people in a food basket on the first of each month. The rations are estimated to last twenty to twenty-three days and include flour, tea, sugar, rice, beans, milk, cooking oil, soap, and salt.
Land Tenure and Property. Private property was an important notion first introduced by the Sumerians during their control of Mesopotamia, and emerged again in the late nineteenth century. The reintroduction of private property had a major impact on Iraq's social system, as it went from a feudal society where sheikhs provided both spiritual and tribal leadership for the inhabitants, to one separated between landowners and sharecroppers. At present many people have sold or are selling their land to the government to purchase essentials such as food and medicine. Though private property does exist, fewer and fewer people can now claim it.
Commercial Activities. Oil, mining, manufacturing, construction, and agriculture are the major types of goods and services produced for sale.
Major Industries. Crude oil, refined petroleum products, and natural gas are products produced by the most important industry in Iraq. Other products and services include light manufacturing, food processing, textiles, and mining of nonmetallic minerals.
Trade. Iraq may only legally trade with other countries through the oil-for-food program, wherein they are allowed to sell oil to buy basic food supplies. However, diplomatic reports have indicated that Iraq has been illegally exporting some of its medical supplies and food, purchased through the oil-for-food program, to Lebanon, Syria, and Jordan. Prior to the sanctions, Iraq's main exports were crude oil, refined petroleum products, natural gas, chemical fertilizers, and dates. Its major trade partners were Russia , France , Brazil , Spain , and Japan .
Division of Labor. It is common for jobs to be assigned through knowing people in the government. Those who enter the military may have more opportunity locating work, as they are trained for jobs that are specifically needed in the country.
Social Stratification
Classes and Castes. Arabs, Kurds, and other ethnic groups each have their own social stratospheres, and no one ethnicity dominates another in a caste system. In terms of social class there is great disparity between rich and poor. Those who compose the high class in society of Iraq are essentially chosen by the government, since there is no opportunity to start a business or make a name for oneself without the endorsement of the government. The once-dominant middle class of the 1970s has deteriorated in the face of the economic crisis. These people, who are very well educated, now perform unskilled labor, if they have jobs at all, and have joined the ranking of the majority lower or poor class.
Political Life
Government. Iraq is a republic divided into eighteen provinces, which are subdivided into districts. There is a National Assembly elected every four years, and they meet twice annually and work with the Revolutionary Command Council (RCC) to make legislative decisions. The RCC holds ultimate authority over legislative decisions, and the chairman of the RCC is also president of the country. The president exercises all executive decision-making powers, and he as well as the vice presidents are elected by a two-thirds majority vote of the RCC. There is universal suffrage at age eighteen, and the popular vote elects 220 of the 250 seats in the National Assembly. The president chooses the remaining 30 seats, which belong to the three provinces of Kurdistan; he also appoints judges.
Leadership and Political Officials. On 16 July 1979 Saddam Hussein became president of Iraq, and has been reelected since. He is also the prime minister, as well as chairman of the RCC. The Baath Party, which stands for Arab Socialist Resurrection, is the controlling party of the government and the most powerful political party. Its authority is the Regional Command, and the secretary general of the Regional Command is Saddam Hussein.
Political activities are carried out through the Progressive National Front (PNF), which is an official organization of political parties. PNF participants include the Iraqi Communist Party, Kurdish political parties, and other independent groups. Politics that try to be exercised outside the framework of the PNF are banned.
Though granted the right to vote for some positions, many Iraqis feel that elections are fixed. They also fear that they might vote for the "wrong" candidate and that they may be punished for doing so. It is a crime for any Iraqi to speak out against the government, and those who disagree with it place themselves and their families at great risk of being persecuted, as many citizens will turn in fellow Iraqis they feel are not loyal to the government or Saddam Hussein.
Social Problems and Control. The head of the formal judicial system is the Court of Cassation, which is the highest court in the country. There are other levels of courts, and all judges are government-appointed. Personal disputes are handled by religious community courts, which are based on Islamic law. Normally punishment is swift for crimes, with no long court trials and with severe sentences.
The crime rate has been traditionally low, but following the United Nations embargo, there has been an increase in crime, especially theft. In addition to crimes by the general public, many crimes by corrupt police and military forces have been reported, the most common being bribery and blackmail. Conditions in prisons are said to be extremely harsh. Prisoners are housed with more than twenty people in a cell meant for two, with no sanitation system, and no food is given unless brought by relatives. Other punishment practices include torture, often in front of family members, and execution.
Military Activity. Current statistics about Iraq's military are not available, though it is believed to be one of the strongest in the world. In 1994 a report indicated that Iraq spent $2.6 billion (U.S.) on its military. Iraq has not officially stated that military service is compulsory, but another statistic from 1994 stated that most of the 382,000 service people were required to be in the military. The average length of service was eighteen to twenty-four months, and there were another 650,000 in the reserves. Regarding compensation, wages for those who fought in the Iran-Iraq War were generous. Journalists reported that families who lost a son in the fighting would receive compensation in such forms as an automobile, a generous pension for life, real estate, and loans with easy terms for repayment. It is estimated that current compensation to the military has changed, but no specific information is available.
Social Welfare and Change Programs
Before the Persian Gulf War, welfare benefits such as Social Security, pensions for retirees and disabled people, and money for maternity and sick leaves were available. Currently the only known welfare programs are food distribution and medical aid food. Some nongovernmental organizations (NGOs) have been involved, but unless the Iraqi government can direct NGO operations, they are not permitted to function.
Nongovernmental Organizations and Other Associations
The most important NGOs are those that are responsible for food rationing and distribution, medical aid, and rebuilding of water and sewage treatment facilities. Many of the NGOs, such as the World Food Program, are associated with the United Nations. Currently Iraqi leaders have been turning down humanitarian efforts and have refused offers of relief from private medical groups. They recently expelled representatives of the Middle East Council of Churches, and denied entry of a Russian envoy from the United Nations who was to investigate the cases of missing persons since 1990. The only NGOs Iraq allows are foreign antisanctions protesters, who bring in small amounts of aid but who are welcome principally because of the propaganda they provide.
The presence of NGOs is different between the south and the three provinces of Kurdistan in the north. The Kurds welcomed NGOs in 1991, immediately following the Persian Gulf War, while they were not allowed in the South until 1996. Kurdistan hosts more than thirty NGOs, while in 1999 there were eleven in the south, with even fewer in 2000. Local Kurdish officials work with the United Nations to manage food, health, and economic programs, while the resources and control of the NGOs are restricted in the south. Due to the attitude toward NGOs as well as other contributing factors such as arable land, population, and availability of natural resources, the north is more productive agriculturally and economically and has a more advanced health system infrastructure. The south, under Iraqi control and closed to outside help, has suffered with more food, health, and economic problems.
Gender Roles and Statuses
Division of Labor by Gender. During the Iran-Iraq War, with so many men fighting in the military, women were required to study in fields and to work in positions normally filled by men. Many women joined the labor force as teachers, physicians, dentists, factory workers, and civil servants, with the majority performing unskilled labor. Women professionals, such as doctors, are normally pediatricians or obstetricians, so that they work with only women or children. Those drafted into the workforce during the Iran-Iraq War were also made to comply with about a one-third deduction from their salary to go toward the war effort.
The Relative Status of Women and Men. The General Federation for Iraqi Women (GFIW) is a government organization for women with eighteen branches, one in each province. Its stated goal is to officially organize women, promote literacy and higher education, and encourage women in the labor force. The federation supported big legislative steps, such as a 1977 law that said a woman may be appointed an officer in the military if she has a university degree in medicine, dentistry, or pharmacy. However, it has had little impact on issues that affect women as individuals, such as polygamy, divorce, and inheritance.
Many believe that the GFIW is not really functioning in the interests of women, but rather in the interests of the Baathist regime. Instead of trying to improve the situation of women in Iraq, the government seems to use the federation as a means to exercise control over them. In an address to the federation, Saddam said that an educated and liberated mother is one who will give back to the country conscious and committed fighters for Iraq. An underlying goal of the GFIW, whether it is stated or not, is to encourage women to "liberate" themselves through commitment to the Iraqi revolution.
In politics Iraq was the first Arab country ever to elect a woman to a parliamentary position. Though an incredible advancement for women in the Arab world, many believe that rather than exercising real authority, she was put in power to falsely demonstrate the controlling regime as a progressive one. Today there are women in politics, though the legitimacy of their authority is often questioned. In Islam, the state religion, women do not hold any leadership roles. Many cannot go to the mosque to pray, and if they do, they are segregated from the men. It is largely due to Islamic influence that women do not enjoy the same social rights and privileges as men, and if gender reform is to take place, it will have to be within the context of Islamic law.
Marriage, Family, and Kinship
Marriage. In the past, arranged marriages were common. However, this practice is becoming more rare, and a law was passed that gave authority to a state-appointed judge to overrule the wishes of the father in the event of an early marriage. The Muslim majority traditionally views marriage as a contract between two families, as the family's needs are considered most important. In urban settings, women and men have more options in choosing their spouses, though the proposed spouse still must have parental approval. Partners often come from the same kin group, and though marriage between different ethnic groups is accepted, it is not too common. The ruling Baath regime considers marriage to be a national duty that should be guided and encouraged. Starting in 1982, women were forbidden to marry non-Iraqi men. If they were already married, they were prohibited from transferring money or property to their spouses.
Following the Iran-Iraq War, the loss of men's lives was so severe that the government embarked on a campaign to increase the population. Government grants were given to men to marry war widows, and polygamy, once rare, became more common. Divorce is accepted, but usually is left solely as a decision of the husband. If the husband wishes to be divorced, it is normally without question or problem, while it is close to impossible for a woman to initiate a divorce proceeding. In the event of divorce, custody is supposed to be granted based on what is best for the child's welfare.
Domestic Unit. Couples can live in either of two ways: with the husband's extended family, or as a nuclear family. At present, with economic hard-ships, families tend to live with extended households. The extended family unit consists of the older couple, sons, their wives and families, and unmarried daughters. Other dependent relatives also may make up part of this group, and the oldest male heads the group. He manages property and makes the final decisions regarding such things as the type of education the children receive, their occupations, and whom they will marry. In this living arrangement household and child-rearing tasks are shared among all female members of the larger families. If the couple can afford to live in a nuclear household, women, even though they work outside the home, retain all domestic and child-care responsibilities. The challenge of the woman's role in this situation is that there is no change in cooking methods or materials, and they are isolated from the help and emotional support of other female family members. Families often grow large, because the Iraqi government has stated that every family should have five children, as four children or fewer is considered a threat to national security. Considering the extreme hardships families now face in light of economic hardship and harsh living conditions, the goal of many is now to simply feed their families and preserve a semblance of some sort of home life.
Inheritance. Based on the Islamic rule, a man inherits twice as much as a woman. The justification for this is that women are to be protected by their male relatives, so men need to be granted more means to provide. Normally, property and belongings are passed down through the family, split two-to-one between sons and daughters.
Kin Groups. Large kin groups are the fundamental social units, and are of higher importance than ethnic, social class, and sectarian lines. Familial loyalty is considered an essential quality, and the family is mutually protective of each other. The kin group usually is organized through descent and marriage and involves three generations, many of whom live together. They often cooperate in areas such as agriculture and land ownership. If some family members live in nuclear families, they keep up practices such as depending on one another and asking the elders for advice. Individual status within the group is determined by the family's position and the individual's position within that group.
Socialization
Infant Care. Children are the mother's responsibility, and in extended domestic units other female members also take care of the children. Children normally imitate older siblings, and obedience and loyalty to elders are of vital importance. Boys and girls have different upbringings, as a boy's birth into the family is usually celebrated, while a girl's typically is not. The boy is thought to be more valuable to a family, given his potential to work, while the girl is considered more of a dependent. At puberty girls are separated from boys and have much less freedom than boys.
Child Rearing and Education. The family holds an important role in teaching values, and they consider it their duty and feel responsible for other family members' behaviors. A good child is loyal, obedient, and does not question authority. The most important value impressed upon young girls and boys is premarital chastity. In addition, girls are taught ideas of weakness, naïveté, resignation, and passivity, while boys go with men at an early age to learn the worth of authority and dominance.
In urban settings, more authority is found in schools rather than with the family. Schools teach about religion and values that stem from it. One present problem, however, is that differing values are taught in schools than are taught in families. State schools tend to emphasize national sovereignty, Arab unity, economic security, and socialism, while families usually focus on such values as love, people, generosity, and religion. Many families also fear that their children acquire violent views and habits such as spying while in school.
Higher Education. Prior to the Persian Gulf War higher education was greatly prized, and the state used to pay for all of it, even literacy classes for adults. In the 1980s the literacy rate was about 80 percent, and there were several plans to build new universities and expand existing ones. During the Iran-Iraq War the government refused to recruit or draft university students, claiming that they would ensure the future of Iraq. However, the situation has gravely changed since the Persian Gulf War. No current literacy statistic is available, but in 1995 the rate was estimated to be 42 percent, a sharp drop from the previous decade. Also, there is no indication that the universities were ever expanded. Fewer women than men receive the highest levels of education.
Etiquette
In general, both adults and children keep to themselves and are not loud and boisterous, especially in public. Men commonly hold hands or kiss when greeting each other, but this is not the case for men and women. Respect is given to the elderly and women, especially those with children, as men give up their seats to them on buses and trains.
Religion
Religious Beliefs. Islam is the officially recognized religion of Iraq and is practiced by 95 percent of the population. Islam itself does not distinguish between church and state, so any distinctions between religious and secular law are the result of more recent developments. There are two forms of Muslims in Iraq, the majority Shias (Shiites) and the minority Sunnis. The Shias believe that the original twelve imams (Islamic leaders) were both spiritual and temporal leaders and that the caliph, or successor of Muhammad and leader of Islam, is selected through lineage and descent. The Sunnis believe that the imams were strictly temporal leaders and that the caliph should be elected. The Sunni sect is considered the orthodox branch of Islam. A small percentage of the population is Christian, divided into four churches: Chaldean, Nestorian, Jacobite (Syrian) Orthodox, and Syrian Catholic. The Yazidis, a cultural group living in the northern mountains, believe in a religion that combines paganism, Zoroastrianism, Christianity , and Islam. They are concentrated in the Sinjar Mountains in the north and are herders and cultivators. In the past they have been victims of persecution due to their religious beliefs and practices, of ten being called heretical.
Religious Practitioners. There are five pillars of Islam: praise of Allah as the only God, with Muhammad as his prophet; prayer five times per day; almsgiving; fasting; and pilgrimage to Mecca . Muezzins invoke a call to prayer, reminding everyone it is either time to pray or to call them to the mosque, and imams lead the prayers. Imams are not required to go through formal training, but usually are men of importance in their communities and are appointed by the government. During Ramadan, men gather in homes or the marketplace to participate in readings of the Qur'an led by mumins (men trained at a religious school in An Najaf) or by mullahs (men apprenticed with older specialists). Christians are organized under a bishop who resides in Baghdad, and gather for Mass on Sundays.
Rituals and Holy Places. Muslims gather at the mosque every Friday for afternoon prayer. Ramadan falls in the ninth month of the Muslim calendar, which is on a lunar cycle and thus falls during different times of the year. The month entails a period of fasting from all food, drink, and activities such as smoking and sexual intercourse during daylight hours. At night the fast is broken, and on the first day of the tenth month there is a celebration, Id al Fitr, to acknowledge the end of the fast. During Id al Adha, on the tenth day of the twelfth month, there is a sacrificial festival. Both this and the one following Ramadan last for three or four days, and people dress up, visit each other, exchange gifts, and also visit cemeteries.
Death and the Afterlife. Funerals are very simple and somber events. People are buried on the day following their death, and are wrapped in a white cloth and placed in a plain box, if available. Whether the person is rich or poor, funerals are generally the same for everyone.
Medicine and Health Care
Health care is socialized, with a few private hospitals. The current situation of hospitals is dire, as they are tremendously understaffed, under-equipped, and overbooked. There has been a dramatic rise in disease since 1990, due to chemicals used in the fighting of the Persian Gulf War, and from malnutrition and bacterial disease exacerbated by conditions resulting from the economic embargo. In the 1980s Iraq was extremely advanced in health care, but lack of resources and education has compromised medical advancement, and in fact has caused it to regress. Doctors who could once cure many diseases through medicine or surgery are no longer able to do so due for lack of resources. Because Iraq was so advanced in medical expertise in the past, there was little reliance on traditional medicine. The current situation is disheartening for older physicians, because they are not able to do medical procedures that they have the capability to perform, and young physicians are no longer educated in the available techniques that older physicians know. The health care situation is rapidly deteriorating, and once-controlled diseases such as malnutrition, diarrhea, typhoid fever, measles, chicken pox, and cholera are reappearing in great numbers; in addition, there is a large increase in diseases such as leukemia and other cancers.
Secular Celebrations
The Anniversary of the Revolution is 17 July and the most important secular holiday. It was on this day in 1968 that the Baath Party took control of the Republic of Iraq. Other holidays celebrate Islamic feasts and include the day following the month-long fast of Ramadan (Id al Fitr), the sacrificial festival of Id al Adha, the birth of Muhammad, and a pilgrim's return from Mecca.
The Arts and Humanities
Support for the Arts. The government supports artists, provided they are chosen by the state and do works requested by the state. For example, all writers, when commissioned by the state, must include praise to Saddam Hussein in their work. In general, artistic forms of thought and expression have been banned. Private ownership of typewriters and photocopiers is prohibited, so that no independent writings may be published or distributed. In addition, publishing houses, distribution networks, newspapers, art galleries, theaters, and film companies are subject to state censorship and must register all writing equipment with authorities. The end result is that artists are unable to express themselves freely.
Graphic Arts. Islamic art is very important, as are ceramics, carpets, and Islamic-style fashion design. In 1970 the Iraqi Fashion House opened, and design concentrated on the preservation of traditional attire and historical style. At present historical art, which is colorful and fine, has been reduced to art produced for function, such as sculptures of political figures and propaganda for the government.
Performance Arts. Music festivals have been important, such as the Babylon International Music and Arts Festival (last held in 1987 and 1995). International orchestras and performance troupes were invited to perform in the restored sites of Babylon, and people from all over the world attended. At present due to the harsh and severe living conditions, there are no resources to allocate to performance arts.
Bibliography
Al-Khalil, Samir. Republic of Fear: The Politics of Modern Iraq, 1991.
Al-Khayyat, Sana. Honor and Shame: Women in Modern Iraq, 1990.
Baram, Amatzia. Culture, History, and Ideology in the Formation of Ba'thist Iraq, 1968–89, 1991.
Calabrese, John, ed. The Future of Iraq, 1997.
CARDRI (Committee Against Repression and for Democratic Rights in Iraq). Saddam's Iraq: Revolution or Reaction?, 1986.
Chalian, Gerard, ed. A People Without a Country: The Kurds and Kurdistan, 1993.
Crossette, Barbara. "Iraq Won't Let Outside Experts Assess Sanctions' Impact." New York Times, 12 September 2000.
Fernea, Elizabeth and Robert. The Arab World: Personal Encounters, 1985.
Fisher, W. B. The Middle East and North Africa 1995, 1994.
Hazelton, Fran, ed. Iraq Since the Gulf War: Prospects for Democracy, 1994.
Hopwood, Derek; Ishow, Habib; and Kozinowski, Thomas, eds. Iraq: Power and Society, 1993.
Lewis, Bernard. The Middle East: A Brief History of the Last 2000 Years, 1995.
Lukitz, Liora. Iraq: The Search for National Identity, 1995.
Marr, Phebe. The Modern History of Iraq, 1985.
Miller, Judith and Laurie Mylroie. Saddam Hussein and the Crisis in the Gulf, 1990.
Roberts, Paul William. The Demonic Comedy: Some Detours in the Baghdad of Saddam Hussein, 1998.
Simons, G.L. Iraq: From Sumer to Saddam, 1994.
Taylor, Marisa. "The Great Iraqi Exodus: Arrival of Chaldeans at Border Part of 'Enormous' Migration." San Diego Union Tribune, 30 September 2000.
Web Sites
Hickey, Brian; Danielle LeClair; Brian Sims; and Jack Zylman. "Iraq Trip Report." Congressional Staffers Report, 16 March 2000, www.nonviolence.org/vitw/pages/94.htm
Metz, Helen Chapin, ed. "Iraq: A Country Study." Federal Research Division, Library of Congress, May 1988. www.loc.gov (search "Iraq")
Saleh. "Iraq History and Culture from Noah to the Present." www.achilles.net/~sal/iraq_history.html
U.S. State Department. CIA World Factbook 2000: Iraq. www.odci.gov/cia/publications/factbook/geos/iz.html
—Elizabeth C. Pietanza
| Mesopotamia |
First shown in 1976, which ITV series featured Gareth Hunt as the character Mike Gambit ? | Rome and Romania, Roman Emperors, Byzantine Emperors, etc.
Home Page
Sources
Discussion of the period covered by this page, with sources on Roman and "Byzantine" history, upon which the actual tables and genealogies are based, may be found in " Decadence, Rome and Romania, the Emperors Who Weren't, and Other Reflections on Roman History ." One Roman source not mentioned there is the handy Who Was Who In The Roman World, edited by Diana Bowder [1980, Washington Square Press, Pocket Books, 1984]. That was the first book I ever saw that organized Roman Emperors into logical dynastic or event centered groups. Another source I have recently enjoyed is Justinian's Flea by William Rosen [Viking, 2007], not the least because it cites this very webpage [note 2:36, p.331]. Otherwise, it is a fine book with a good appeciation of Late Antiquity, and with some details that I have already added here. Other sources are given here at the points where they are used. This page is continued and supplemented by the material in "Successors of Rome: Scotia" , "Successors of Rome: Germania" , "Successors of Rome: Francia" , "Successors of Rome: The Periphery of Francia" , "Successors of Rome: Russia" , "The Ottoman Sultâns" , and "Modern Romania" . Related earlier history may be found at "Historical Background to Greek Philosophy" and "Hellenistic Monarchs" , and the "Consuls of the Roman Republic" .
, that could be transliterated from Greek as "Doukas," is written "Ducas." The epithet of Basil II, "Bulgaroktonos,"
, "Bulgar Slayer," is rendered "Bulgaroctonus." This is contrary to increasing usage among Byzantinists and Classicists but is, as Warren Treadgold says [A History of the Byzantine State and Society, Stanford University Press, 1997, p. xxi], what the Romans would have done themselves when writing in the Latin alphabet -- and in fact used to be the academic practice, as we see examples of almost all such Latinized names in older scholarly and popular work. In the 19th century, a scholar disinclined to use Latin forms would simply give the words in Greek. It could be assumed that educated readers at least knew the Greek alphabet. No such assumptions could be made now.
Since this page uses the Latin alphabet, and since the Roman Empire originally used Latin as its universal language, never forgotten in Greek Romania (however annoying or hostile contemporary "Latins" might become), Latinate forms are the practice here. Some say that this is a "detour" through Latin, but that is the historic and customary route by which Greek words came into English, which is a historic language of Latin Francia . In fact, the Greek versions of the names of significant figures should be given in Byzantine histories, but this is not done. Since standard Greek lexicons, like Liddell and Scott, do not have proper names, and probably would not have them for the Mediaeval period anyway, there is a serious lacuna in references sources for the history of Romania. And those who insist on transcribing rather than Latinizing Greek words and names must face the problem than transcription systems, discussed by Treadgold, are ambiguous, especially in the absence of accents, and usually do not enable the reader to reconstruct the Greek writing. Because of the problems with transcribing Greek, and because of the need for a reference with actual Greek words, Greek names and words are not being added extensively to this page.
Exceptions to Latinization would be, (1) for Greek words that simply have Latin translations. Thus, Greek Rhômaîoi, "Romans," corresponds to Latin Romani -- not "Rhomaeoe." Latinization will occur, however, when the Greek word is part of a compound. For instance Tsar Kalojan of Bulgaria was called the "Roman Killer,"
, Rhômaioktónos. This would Latinize as Rhomaeoctonus. And (2) when Greek words are transcribed, not primarily for logical "use" in English (or even Latin) sentences, i.e. to indicate their referents, but to phonetically render Greek words from examples of Greek itself, as I have in fact just used Rhômaîoi, and Rhômaioktónos. The reference is thus first of all to the words, where we want to represent the Greek language (some of whose characteristics may be lost in Latin), rather to what the word (in Greek, Latin, or English) is used for. Transcription involves compromises. The practice elsewhere usually doesn't include accents, even through they are a proper part of Greek orthography -- and indeed were originated in order to write Greek. With accents, the use of the circûmflex to distinguish êta from epsilon and ômega from omicron (where the macron is not available in basic HTML) introduces an ambiguity; and where êta or ômega may otherwise take an ácute or gràve accent (which here have priority), another ambiguity is introduced. Issues of Greek pronunciation and spelling are examined elsewhere .
The maps are originally those of Tony Belmonte, edited to eliminate references to "Byzantium" and with corrections and additions. Tony's historical atlas (with Tony) disappeared from the Web. It was painstakingly reassembled by Jack Lupic, but then his site has disappeared also. Corrections and additions are based on The Penguin Atlas of Ancient History (Colin McEvedy, 1967), The Penguin Atlas of Medieval History (Colin McEvedy, 1961), The New Penguin Atlas of Medieval History (Colin McEvedy, 1992), The Anchor Atlas of World History, Volume I (Hermann Kinder, Werner Hilgemann, Ernest A. Menze, and Harald and Ruth Bukor, 1974), and various prose histories. My graphics programs do not seem to be quite as sophisticated as Tony's, so maps I have modified may not look as professionally done as his originals. Other maps are not based on Tony's at all and may consequently look even less professional.
I. FIRST EMPIRE, "ROME,"
27 BC-284 AD, 310 years
Trajan was most conspicuous for his justice, for his bravery, and for the simplicity of his habits. He was strong in body, being in his forty-second year when he began to rule, so that in every enterprise he toiled almost as much as the others; and his mental powers were at their highest, so that he had neither the recklessness of youth nor the sluggishness of old age. He did not envy nor slay any one, but honored and exalted all good men without exception, and hence he neither feared nor hated any one of them. To slanders he paid very little heed and he was no slave of anger. He refrained equally from the money of others and from unjust murders. He expended vast sums on wars and vast sums on works of peace; and while making very many urgently needed repairs to roads and harbors and public buildings he drained no one's blood for any of these undertakings... For these deeds, now, he took more pleasure in being loved than in being honoured. His association with the people was marked by affability and his intercourse with the senate by dignity, so that he was loved by all and dreaded by none save the enemy.
Dio Cassius (c.150-235 AD), Roman History, Book LXVIII, Translated by Earnest Cary, Loeb Classical Library, Dio Cassius, VIII, Harvard U. Press, 1925, 2005, p.369-371.
In the second century of the Christian era, the Empire of Rome comprehended the fairest part of the earth, and the most civilised portion of mankind. The frontiers of that extensive monarchy were guarded by ancient renown and disciplined valour. The gentle but powerful influence of laws and manners had gradually cemented the union of the provinces. Their peaceful inhabitants enjoyed and abused the advantages of wealth and luxury.... During a happy period (A.D. 98-180) of more than fourscore years, the public administration was conducted by the virtue and abilities of Nerva, Trajan, Hadrian, and the two Antonines.
Edward Gibbon (1737-1794), The Decline and Fall of the Roman Empire, Volume I, Modern Library, p.1
Now what shall I say of this, that whereas so many have borne the name of Caesar, there have appeared among them so few good [paucos bonos] emperors? For the list of those who have worn the purple [purpuratorum] from Augustus to the Emperors Diocletian and Maximian is contained in the public records. Among them, however, the best were Augustus himself, Flavius Vespasian, Titus Flavius, Cocceius Nerva, the Deified Trajan, the Deified Hadrian, Antoninus Pius and Marcus Antoninus, Severus the African, Alexander the son of Mamaea, the Deified Claudius, and the Deified Aurelian.
The Scriptores Historiae Augustae (c.150-235 AD), Historia Augusta, Volume III, Translated by David Magie, Loeb Classical Library, Harvard U. Press, 1932, 1998, p.277-279.
The "First Empire" is what often would be considered the entire history of the "Roman Empire." It is definitely the end of the Ancient World. If "Rome" means paganism, bizarre Imperial sex crimes, and the Pax Romana, then this would indeed be it. A later Empire that is Christian, more somberly moralistic, and more beset with war, sounds like a different civilization, which it is, and isn't. That the earlier civilization didn't "fall" but merely became transformed is a truth that both academic and popular opinion still hasn't quite come to terms with. If the decadence of pagan religion and despotic emperors was going to be the cause of the "fall" of Rome, then it certainly should have fallen in the Crisis of the Third Century . That it didn't would seem almost like a disappointment to many. But the greatest of the 3rd century Emperors, like Aurelian, don't get popular books, movies, and BBC television epics made about them. They begin to pass into a kind of historical blind spot. The Pax Romana seems real enough in certain places, but there were not many reigns without some major military action. As long as these were remote from Rome, people would have thought of it as peace. Once Aurelian rebuilt the walls around Rome, things had obviously changed. Indeed, perhaps Rome did "fall" in the Third Century, if by the "Roman Empire" we mean a state ruled, controlled, and centered in the City of Rome. Somewhere between Decius and Diocletian, that was lost. The Emperors ceased to live at Rome, there was not much happening there that influenced events, and even the Army was mostly recruited elsewhere. The Empire decentered and turned inside out, something that popular discourse and even many historians have failed to either recognize or acknowledge.
A. "PRINCIPATE," 27 BC-235, 261 years
1. JULIO-CLAUDIANS
A. Vitellius
69
The Roman Empire "officially" begins by tradition in 27 BC when Octavian receives the title "Augustus" -- which then becomes the name by which we know him. We might think that the Empire, Imperium,
begins with Augustus becoming Emperor, Imperator, but that is not the case. Imperator simply means "commander," and this had long been in use with a specific meaning. An imperator was someone with a military command and imperium, which meant both military and civil authority in the area of his command. This made Julius Caesar essentially the dictator of Gaul , once he had conquered it. That was dangerous, indeed fatal, for the Republic; but in those terms Julius Caesar began the creation of the Roman Empire already as an "emperor." So, while we think of "Augustus" as the name of the first Emperor, it was simply a title, whose import was well remembered by subsequent Emperors. It accompanies the institutional changes that were effected or completed by Augustus.
The institution thus created now gets called the "Principate," from Princeps, "Prince" (literally, "comes first"). The idea of the Principate is that the forms of the Republic are retained, and the Emperor superficially is simply still an official of the Republic. Augustus was not a king. He did not even hold the Republican office of Dictator, as Julius Caesar had. But Augustus otherwise assembled offices and authority sufficient to explain the power that he had actually obtained by force. In principle, Rome is still SPQR, Senatus Populusque Romanus, "the Senate and the People of Rome." This institution continues for some centuries, and there never was a subsequent question that the Emperor might become a King, as had been widely feared, expected,
or desired with Julius Caesar. In time, the Emperor came to be regarded as superior to any mere king, as the reach and authority of many Emperors was indeed great beyond precedent or (local) comparison.
While it seems natural and obvious to take Augustus as the successor to Julius Caesar and his new Imperial government as the successor to the Roman Republic, there was another way of looking at this. The astronomer Claudius Ptolemy (c.100-c.170 AD), who was concerned about the dating of astronomical observations, laid the foundation for all ancient chronology with the Canon of Kings , a list of rulers beginning with the Babylonian King Nabonassar in 747 BC. The Canon thus starts off with Babylonian Kings (and some Assyrians thrown in), jumps to Persian Kings in 538 BC, to Alexander in 332 BC, to the Ptolemies in Egypt in 305 BC, and finally to Augustus, at the death of Cleopatra, in 30 BC. It continues to the reign of Antoninus Pius. These particular connections occur because (1) the Babylonians had the most advanced astronomy of their age, (2) Babylonian records continued seamlessly into the Persian and Hellenistic periods, (3) elements of this, including considerable data, had been translated into Greek, and (4) Ptolemy himself operated in Alexandria, where these translated Babylonian records were freely available, where Greek astronomy itself reached maturity, and where Ptolemy had at hand the simplest calendar of the Ancient World, the Egyptian 365 day year , which continued to be used in astronomy until the introduction of Julian Day Numbers . Thus, we have the curious mixture of an astronomer whose name is in Latin and Greek, who lives in Egypt, and who uses the Era of a Babylonian King (Nabonassar) in conjunction with the Egyptian calendar. This all is striking for Ptolemy's willingness to use the best of all that was available to him -- though it may still surprise some, as we now know independently from Egyptian records, that the astronomy of the Egyptians themselves, except for (or perhaps because of) their year, had less to offer than the Babylonian. Thus, Augustus may be seen as more than a Roman ruler, as, indeed, the successor to the universal equivalents of the eponymous archons (the Athenian officials used for purposes of dating) for all of Middle Eastern, Mediterranean, and European civilization. From Antoninus Pius, the Canon could easily be continued with Roman Emperors all the way to 1453, using a clue of the numbering given by the Venerable Bede , who has Maurice as the 54th Emperor. Even the presence of the Latin Emperors present no anomaly, since Assyrian Kings were interpolated with Babylonian Kings. The last ephemeral Western Emperors , so important for the mythology of the "Fall" of Rome, were, of course, simply ignored by Bede. The Canon can then obviously be continued from 1453 with the Ottomans , who make for a succession in Constantinople in an even more seamless fashion than Augustus takes over from Cleopatra. The Canon of Kings, then, as a succession of Kings, will end in 1922, when no monarch conquers or replaces Mehmed VI. It is a moment, indeed, in the aftermath of World War I, when the idea of monarchy alone as a legitimate form of government, without popular and parliamentary qualifications, pretty much ends.
The Metropolitan Museum of Art in New York City contains the Temple of Dendur, which was relocated from Egypt and opened on display in 1978. This was built in the reign of Augustus, around 15 BC.
The cartouches on the temple mostly just contain the hieroglyphs
, "Pharaoh," which seems like a very perfunctory way of representing the Roman Emperor as King of Egypt. High up on the gate, however, and around on the side, I have noticed more complete names, only parts of which I have been able to read, including
, glyphs that clearly spell out "Caesar." So there was an effort here, as with the Ptolemies, to Egyptianize foreign rule, and a final era of overlap between Ancient Egypt and the later civilizations that, through Christianity and then Islam, erase the ancient religion, culture, and then language of Egypt. What remains of all of those, with the Christian Copts, is under physical assault by Islamists in modern Egypt even as I write.
This map, for the year of the death of Augustus, is the last in the series prepared for the Hellenistic Age , the period that Augustus himself had terminated in 30 BC. Noteworthy are the surviving vassal kingdoms under Roman control: Armenia , the Bosporan Kingdom , Numidia , Judaea , Cappadocia , Emesa , Nabataean Petra , Commagene , Iberia , Thrace, and Palmyra. Edessa , at this point a Parthian vassal, will soon pass under Roman control. Palmyra will briefly play a signifiant role in Roman history in the Third Century . Armenia will often find itself pulled between Rome and Parthia, then Rome and Sassanid Persia , and subsequently several other larger political conflicts right down to our own day.
The Principate is the period that fits everybody's main idea of the "Roman Empire." Caligula and Nero, and Robert Graves's version of Claudius, are objects of endless fascination, moralizing, guilty pleasure, and not-so-guilty pleasure. Whatever these emperors were actually like, this approach began with the Romans themselves, with Suetonius's list of Tiberius's sexual perversions, lovingly reproduced in Bob Guccione's silly movie Caligula (1979, 1991). Whether Tiberius was really guilty of anything of the sort is anyone's guess, but we don't hear much in the way of such accusations about subsequent Emperors, except for a select few, like Caracalla and Elagabalus. Meanwhile, Augustus had secured the Rhine-Danube frontier, and Claudius conquered most of Britain. Augustus originally wanted an Elbe-Danube frontier, but one of his armies (of three legions) was caught in a catastrophic ambush and destroyed. The Romans gave up on the Elbe permanently. Only Charlemagne , by the conquest of Saxony, would secure what Augustus had wanted. The shadow of the Republic persisted during this period, and someone like Claudius could still dream of restoring full Republican government. The year 69 pretty much ended these dreams, since the first free-for-all scramble for the throne revealed that the army, and only the army, would determine who would be Emperor. Strangely enough, despite the occasional anarchy, this would be a source of strength for the Empire, since the state always did the best with successful soldiers at its head. Unsuccessful soldiers faced the most merciless reality check (whether killed by the enemy or by their own troops); but purely civilian Emperors, like Honorius , could endure one disaster after another without their rule necessarily being endangered.
The Roman Army under Augustus contained 28 Legions (Legio, Legiones), not counting the Praetorian Guard. At some 5500 men each, this gives a full strength Army of 154,000 men. However, this does not count the Auxilia, units like cavalry and others that consisted of those who are not Roman citizens (though they gained citizenship from service). The entire Army, therefore, was more like 300,000 men, less than half of what it would number in the Late Empire . In his attempt to extend Roman power to the Elbe, Augustus lost three Legions at the battle of the Teutoburger Wald in 9 AD. The numbers of the lost Legions were never used again (likewise with the Legions later disbanded for rebellion). All the Legions were originally simply numbered. Once they begin acquiring epithets (cognomen, cognomina), like Legio X Fretensis, we start getting more than one Legion with the same number, but with different epithets, e.g. Legio III Gallica, Legio III Cyrenaica, Legio III Augusta pia fidelis, Legio III Italica concors, and Legio III Parthica. This is a little confusing. The logic of the matter is that eventually the legions begin to be numbered in relation to their cognomen, not in the absolute count of the Army. Thus, Septimius Severus raised legions for his attack on the Parthians (195 AD), which quite logically are numbered Legio I Parthica, Legio II Parthica, & Legio III Parthica. Eventually there would also be Legio IV Parthica, Legio V Parthica, & Legio VI Parthica, but these were not raised by Severans. We find all the numbers used up to XXII (Legio XXII Primigenia pia fidelis), but then Trajan raised Legio XXX Ulpia Victrix. I suspect that he used "XXX" because 29 Legions already existed, despite the numbers used.
Legions of the Roman Army
The office of the Roman Consuls, and dating by them, continues under the Empire until Justinian . They can be examined on a popup page .
The abbreviations used in the full names of the Emperors can be found elsewhere with the discussion of the tria nomina . Emperors are commonly known by particular parts of their names, or by nicknames, e.g. Caligula, "little boot," or Caracalla, "little hood" -- both names given them as children in the army camps of their fathers (Germanicus and Septimius Severus, respectively).
The family of the Julio-Claudians seems like one of the most complicated in history. This chart eliminates many people in the family to focus on the descent and relation of the Emperors. Caligula and Nero are descendants of Augustus, through his daughter Julia (from his first marriage); but Claudius and Nero are also descendants of Mark Antony, who of course committed suicide, shortly before Cleopatra, rather than be captured after his defeat by Augustus.
The use of crowns to indicate the emperors is at this point anachronistic, but it is convenient. The crown for Christian Roman Emperors, which of course will not occur until Constantine, is shown with a nimbus, like deified earlier Emperors, because they are always portrayed with halos, like Saints, and are said to be the "Equal to the Apostles,"
, isapóstolos. Indeed, not just Christians Emperors, but Empresses and their children are shown with halos. This is not something that ones sees in Western Europe.
4. KINGS OF NUMIDIA
c.22 AD-40
Roman Province
No less that four foreign cultures have been planted into North Africa over the centuries. The Kingdom of Numidia was originally promoted by Rome as an ally against the Carthaginians. In the Second Punic War (218-201), Masinissa went from fighting effectively for Carthage to an alliance with Rome. His cavalry is largely what enabled Scipio Africanus to defeat Hannibal at Zama in 202. He was then supported by the Romans in eliminating his Numidian rivals. However, when he wanted to marry the wife of the great Numidian king Syphax, the Carthaginian princess Sophonisba, the Romans demanded that she be handed over to them. Masinissa enabled her to poison herself instead. Rome supported Masinissa the rest of his life. He died shortly before Carthage itself was exterminated in 146. Numidian allies thus enabled Rome to overthrow the first foreign culture in North Africa, the Phoenician (or "Punic" to the Romans). The Numidians then, of course, discovered what being an "ally" of Rome really meant, and war resulted as later Kings tried to preserve their independence -- especially the War of Jugurtha (112-105). Like the native kingdoms of Anatolia, Numidia was soon converted into a Roman province, opening the way for the introduction of a Latinate culture. If no other events had intervened, North Africa today would probably boast its own Romance language, like Spanish or French. This, however, was not to be. The Vandals interrupted Roman rule, but not long enough to make any lasting difference, if Islam had not soon arrived. When it did, this became the most durably planted foreign culture, with a large colonial element, as the Fatimid Caliphs of Egypt later directed an invasion of ethnic Arab tribes -- in revenge for North African defection from the Fatimids, and from the Shi'ite cause. The last culture planted was that of France, beginning with the occupation of Algeria in 1830. Eventually, something like 30% of the population of Algeria was French colonials, who began to fight as the era of de-colonization threatened their position. This brought about the fall of the French Fourth Republic in 1958. Interestingly, the two greatest French Existentialist writers and philosophers were on opposite sides of the issue. Jean Paul Sartre had become a dogmatic Marxist who demanded Algerian independence at any cost, while Albert Camus, whose most famous book, The Stranger, is set in Algeria, could not so easily dismiss the poor French farmers who had lived in Algeria for nearly a century -- Camus also suspected that Sartre's doctrinaire leftism concealed a bit of collaboration with the Germans in World War II. The return of Charles de Gaulle to power in 1958 ushered in harsh medicine about Algeria. De Gaulle decided that France should cut her losses, and the colony was abruptly granted independence in 1962. This began a bitter exodus of the French colonials and the nauseating torture and massacre of all those Algerians who were associated with the colonial regime. The cycle of terrorism continues even today, as leftist ideology has collapsed into an unhappy civil conflict between military rule and Islamic fundamentalism, and frightened Algerians have increasingly fled....to France. Unfortunately, the French economy, with stupefying labor law, has created national double digit unemployment, far higher in the heavily Moslem immigrant community, which is then supported by the French welfare state in public housing projects that have become virtual No Man's Lands outside many French cities. The idle and resentful unemployed then turn to....Islamic fundamentalism.
5. LEADERS & KINGS OF JUDAEA
Hasmoneans
Agrippa II
King, 50/53-100?
Jewish Revolt & War, 66-73: Destruction of Jerusalem, 70 AD; Fall of Masada, 73; Revolt of Bar Kokhba, 132-135
The success of the great struggle of the Maccabees to free the Jews from the Seleucid Kings is still commemorated in the holiday of Hanukkah, based on an incident when the Temple was reconsecrated after the liberation of Jerusalem. Little oil was available for the Temple lamps, but what there was burned miraculously for eight days. The burning of candles for Hanukkah coincides, however, with similar fire rituals of many people at the darkest time of the year, in December, and Hanukkah has also taken on the gift-giving attributes of Christmas -- exemplifying the adaptation of religious rituals to several purposes. Explanations of Hanukkah often awkwardly refer to the "Syrians" instead of to the Seleucid Greeks -- but it would certainly seem more politic today to risk offending the Greeks than to have the modern Syrians, who had nothing to do with the Seleucids, feel accused of ancient tyranny. Modern Israel and Syria have enough recent issues to deal with.
The hard won independence of Judaea fell within a century to Rome, which for a time, as elsewhere, tolerated a fiction of local rule -- the Herodian dynasty owed its power entirely to Roman favor. This did not mollify the Messianic hotheads, who inevitably sparked a rebellion that led to the final destruction of the Temple, the end, in a sense, of ancient Judaism, massacres and mass suicides, as at Masada, and the increasing Diaspora of Jews into the Roman world. Out of this also came the story of a peaceful Messiah, who had been executed and resurrected, whose cult eventually overwhelmed Rome itself, transforming Hellenistic Romanism into a culture of both Athens and Jerusalem. Jews themselves derived little enough benefit from this transformation, since Pauline Christianity had repudiated the ritual requirements of the Law and the new religion became increasingly estranged from the old. Once the new religion became the State Religion of Rome, the rigor with which Judaism had rejected the old gods now became public policy, to their own disability. Christianity never had the provision found in Islam, however grudging, for the toleration, within limits, of kindred religionists.
The fate of Jews in Christendom, as of the basic attitude of Christianity to Judaism, thus became a matter of dispute. Where Christianity began as sect of Judaism, perhaps just a continuation of the Essenes described in detail by
Josephus, some post-Pauline Christians wanted Judaism repudiated completely and the Hebrew Bible simply rejected. The most elaborate version of this turned up in Gnosticism , where the God of the Old Testament was reduced to a minor and malevolent deity. The "Jealous" God of Judaism was not regarded as having the right attitude to be the true Father of Jesus. The Orthodox decision in the matter was that the God of the Old Testament was indeed the God of the New Testament, the Jews were indeed the Chosen People, and that the Covenants with Abraham, etc. were not only valid in their own right but essential links to the New Covenant established by Jesus. No less an authority than St. Augustine said that Jews must be tolerated so that the Biblical prophecies of the Coming of Christ would be preserved by a disinterested, or even hostile, source. Augustine, interestingly, did not doubt that Jews could be trusted to faithfully preserve the Hebrew text of the Bible -- as they did. Now, Christianity granting a role for Judaism in Christianity is very patronizing to Judaism, but it did provide a ground for the toleration of Judaism, which no other principle at the time did (no one having heard of Liberal society). There were shameful exceptions to this toleration, but through the Middle Ages the overwhelming majority of Church authorities staunchly condemned attacks on the Jews. The Popes themselves even refuted, twice, the "blood libel" that Jews used Christian blood for Passover matzos (which would have been a grotesque violation of Jewish dietary laws anyway).
The genealogy of the Hasmonaeans is from The Complete World of The Dead Sea Scrolls (Philip R. Davies, George J. Brooke, & Phillip R. Callaway, Thames & Hudson Ltd., 2002, p.42). The incestuous marriages of the children and grandchildren of Herod the Great, perhaps typical of a Hellenistic dynasty, like the Ptolemies , were very hard to understand.
The chart in my edition of Josephus (The Jewish War, Penguin Classics, 1960, p.410) did not make things very clear, but then my colleague Don Smith helped straighten things out for me. There seems to be some question about the parentage of Herodias and Agrippa I -- with Davies, Brooke, & Callaway going for Aristobulus. Aristobulus and his brother Alexander, descendants of the Hasmonaeans through their mother, were both executed by Herod.
Since Mediaeval Jews shared in the continuing trade and commercial culture of the Middle East, and were often its only representatives in impoverished and ruralized Latin Europe, they became fatefully associated in European eyes with the commercial and financial practices that Europeans at once needed, wanted, misunderstood, and resented.
A similar problem later occurred all over again in Eastern Europe, where the Kings of Poland were eager to bring in a more sophisticated population, unwelcome in Western Europe, to develop the country and strengthen the throne. Such resentments in time found theoretical expression in Marx's view that the Jews embodied the archetype of grasping and exploitive capitalism. This made them class enemies, but that was soon enough converted into race enemies when Marxism mutated into Fascism and Naziism. Jews who thought they had escaped the class and race animus in the Soviet Union soon came to be suspected, purged, and, increasingly, murdered by Stalin, while Hitler, of course, decided to kill them all. This helped promote the idea, not surprisingly, that all Jews should return to Palestine and found a Jewish State, which is what happened. After 2000 years, however, the Zionists found that they didn't have a lot in common with the modern Arabic speaking population of the place they returned to -- rather than learn Arabic, they even decided to revive Hebrew, which was already dying out as a spoken language in the days of the Hasmoneans, and which some Jews refused to speak as being a sacred language (they still speak Yiddish). After sixty years, this conflict between Israel and Arab Palestinians has still not been resolved.
By some estimates, e.g. Paul Johnson in his A History of the Jews [HarperPerennial, 1988], Jews constituted as much as 10% of the population of the Roman Empire. I am not familiar with the basis of this estimate, but I am familiar with the difficulty of estimating Roman population at all. I find so high a figure inherently improbable. Judaea, although the "land of milk and honey" in the Bible, is a pretty barren place. This is not going to support a large population, especially on the basis of ancient agriculture. That there should be as many Jews there as, for instance, Egyptians is impossible. Of course, a large part of the estimate is based on the Diaspora population. Even in the time of the Ptolemies , Alexandria already had a very large Jewish population. But that is a key point: the Diaspora population is mostly going to be urban; but the urban population of the Roman Empire is unlikely to have been more than 20% of the whole. Even today, 85% of the population of Tanzania, whose growth was ruined by the socialism of its post-independence government, is still in agriculture. If the population of the Empire was as much as 20% urban, and Jews were 10% of the population, then Jews would have to constitute nearly half of the population of every city, especially including Rome itself (with a population of a million or more people). That is nothing like the impression we get from the records, where so large a group in Rome would be felt on a constant basis. So this "10%" seems like a gravely inflated figure, though we may never have a really accurate one.
I now see Lea Cline, of the American Academy in Rome (and evidently a graduate student in Classics from the University of Texas at Austin), saying that the Jewish population of Rome in the 1st century AD was probably about 30,000 people (I say literally saw her, on the "Naked Archaeologist"). The basis for this are records for the number of "synagogal communites" present in the city. Since, from records about numbers of bakeries, tenements, etc., the population of Rome can be estimated as at least a million people, this puts the Jewish population at no more than 3%. This sounds more like it, especially when the Jewish population of Rome is liable to reflect both an urban concentration of Roman Jews and the special concentration effected by the importance of the Roman capital itself -- Jews had been there since well into the Hellenistic Period. If it is impossible that the percentage of Jews in Rome could be lower than in the Empire as a whole, that gives us a good ground for evaluating the percentage given by Paul Johnson.
The maps here begin with Rome at its height under Trajan. Trajan's occupation of lower Mesopotamia was impressive but brief. After taking Ctesiphon, the Parthian capital, "he conceived a desire to sail down to the Erythraean Sea" [i.e. the Persian Gulf -- Dio Cassius, Book LXVIII, Loeb Classical Library, Harvard U. Press, 1925, 2005, p.415]. Sailing down the Tigris to "the Ocean," he wished he were, like Alexander, on his way to India, "if I were still young" [p.417]. Indeed, he would die within the year (117 AD). Visiting Babylon in order to sacrifice to Alexander at the place of his death, "he mostly saw nothing but mounds and stones and ruins" [p.417]. It had been long since Babylon had been an important city. Putting down revolts in Mesopotamia, it is not clear how much Trajan really intended to retain, since he installed his own candidiate for Parthian King (Parthamaspates) in Ctesiphon. In any case, Trajan had added upper Mesopotamia, Armenia, and Dacia to the Empire. This, as it happened, involved all the most organized states on the borders of Rome, excepting only Kush . The Pax Romana thus was often a matter of war on the frontiers in order to preserve the peace within. But when Hadrian withdrew from some of Trajan's conquests, he was then troubled by the revolt of Bar Kochba in Judaea.
7. FLAVIANS & ANTONINES
Decimus Clodius Albinus
in Britain & Gaul, 193-197
The Flavians Vespasian and Titus were both great soldiers and, to the Roman historians, virtuous and admirable men. Unfortunately, Titus's brother Domitian was not quite of the same stamp, and then went on to reign longer than his father and brother.
He was succeeded by a fraternity of soldiers who adopted each other to secure competent and peaceful succession. The "Five Good Emperors" (in boldface) became the ideal of generations, all the way to Gibbon, for peaceful and benevolent government. Trajan was the first Emperor born in the provinces (Spain) and briefly, with his Mesopotamian campaign, expanded the Empire to its greatest extent. In the Middle Ages, Trajan had such a powerful reputation for goodness that the story began to circulate that God had brought him back to life just so he could convert to Christianity. Dante even includes that in the Divine Comedy. Antoninus Pius became the only Roman Emperor in 1500 years to be called "the Pious," but we really know precious little about his reign. This may simply illustrate the principle that goodness and peace, the height of the "Pax Romana," is boring.
, "To Rome" [cf. The Ruling Power: A Study of the Roman Empire in the Second Century After Christ Through the Roman Oration of Aelius Arisides, James H. Oliver, The American Philosophical Society, 1953]. This speech is not of much interest to Classicists and is rarely mentioned in treatments of the Roman Empire of this period, yet it expresses profound changes that are in the works. Aelius is a Greek who now has become wholeheartedly Roman. There is not a trace of irony or cynicism in his praise of Rome. After achieving some fame, Aelius later became friendly, at Smyrna where he settled, with Marcus Aurelius. Since "To Rome" is in Greek, as was the diary of Marcus, we see a growth in Greek literature which will flower in the Second Sophistic and which will begin to overshadow secular literature in Latin. Culturally, Rome is becoming increasingly Greek, a trend that will culminate in the Graecophone Romania of the Middle Ages, where "To Rome" will be much admired and studied both for its language and style and for its patriotic sentiments. Neither of these is particularly appealing either to Classicists or to most Byzantinists, for the virtues of its language and its loyalties tend to leave both cold: Classicists are disdainful of Attic Greek unless it was written in the 5th century BC, while Byzantinists are sometimes uncomfortable being reminded that "Byantines" to themselves were still
, Rhômaîoi, Romans. Aelius thus represents the sort of cultural and historical reality about Rome that does not quite fit in with the accustomed narratives and consequently is generally ignored.
The Pax Romana ended under Marcus Aurelius, the closest thing to a "philosopher king" until Thomas Jefferson , but also a very competent general, who smashed a major German invasion across the Danube, while consoling himself with Stoicism for the miseries of war, plague, and personal loss. Marcus's only real failure was to leave the Empire to his worthless son, Commodus -- dying in a place of modern note, Vienna (Vindobona). Hereditary succession, although eventually stabilized in Constantinople, would prove a dangerous principle at many moments in Roman history. The incompetence and viciousness of Commodus then set off his assassination and the second great free-for-all fight for the throne, in 193. This was not without its comic aspect, when the Praetorian Guard killed the disciplinarian Pertinax and literally put the throne up for sale. The wealthy Didius Julianus made the best bid but had no other ability to secure his rule. He was murdered as Septimius Severus, a notably humorless man, approached Rome -- and then also abolished (temporarily) the Guard.
When Jerusalem fell to Titus in 70 AD, the Temple and most of the city were demolished. The furniture and sacred vessels of the Temple, including, Josephus says, the red curtains of the Inner Sanctuary, were carried off to Rome -- portrayed on the Arch of Titus. They remained there until 455, when the Vandals sacked the city and removed their loot to Carthage. When Belisarius overthrew the Vandals for Justinian in 533 and found the items from the Temple in Carthage, they were sent back to Constantinople . Since it has previously been noted that the Ark of the Covenant, despite Raiders of the Lost Ark (1981), was not carried off to Tanis, one might wonder what subsequently happened to it. Although Josephus speaks of Titus taking away "the Law," he describes nothing like the Ark. Later, Mediaeval sources (e.g. Mirabilia Urbis Romae, c.1143, The Marvels of Rome, Italica Press, New York, 1986, p.29) speak of the Ark having been in Rome, but this was long, long after the fact. It must not be forgotten, however, that the Temple had once before been destroyed, by Nebuchadnezzar , in 587 BC. It is not clear that anything of the Temple survived, and so the Ark could well have been destroyed then -- or concealed on the Temple Mount, where the Templars supposedly found it.
The map shows the disposition of the Legions shortly after the end of the Jewish War. One Legion from the campaign, Legio X Fretensis, remains in Judaea, while the other two that were given to Vespasian at the beginning of the campaign, Legio V Macedonica and Legio XV Apollinaris, have returned to the stations on the Danube. Some sources say that there were four legions involved in the Jewish War, but I have found no indentification of what the fourth would have been. Britain, of course, has now been added to the Empire. My sources disagree on the station and numbering of some of the Legions. The revolt of Civilis in 69-70 led to the disbanding in 70 AD of four legions that participated in the revolt: Legio I Germana (or Germanica), Legio IV Macedonica, Legio XV Primigenia, and Legio XVI Gallica. These are indicated on the first map of the Army given above .
Of particular interest in the disposition of the Legions in the reign of Antoninus Pius is Legio VI Victrix. On the first map above, it is to be found in Spain. Next it is on the Rhine. Now it is in the North of Britain. In the reign of Marcus Aurelius the Prefect of Legio VI Victrix will be one Lucius Artorius Castus. As discussed below , this man and his name -- Artorius -- may figure in the legends of King Arthur. Otherwise, we see that Dacia has been added to the Empire.
The concentration of Legions around Judaea again is in the aftermath of Bar Kochba's Revolt (132-135). This figures in the mystery about Legio IX Hispana. Previously attested in Britain, Legio IX Hispana has disappeared from the list of legions by 165 AD. Much of what we hear about it is speculation. Since the legion had been posted in Britain, one notion is that it was wiped out by the Picts. We even see this in a recent movie, The Eagle [2011]. There is no evidence from the period, however, that any legion was wiped out in Britain. Equally speculative is the suggestion that Legio IX Hispana was among the units sent to suppress the Bar Kochba revolt and that it was wiped out there. Again, there is no evidence for either event. Instead, since the legion does disappear from the records and is never revived, which means that something bad must have happened to it, we might ask if there is any evidence that any legion was wiped out or disbanded during the period before 165 AD. Well, yes. In 161, the Parthians occupied Armenia and defeated the governor of Cappadocia, Aelius (or Marcus Sedatius) Severianus, at Elegeia on the Euphrates, wiping out his legion. Severianus, who had been assured of victory by a shady "prophet," Alexander of Abonutichus, commited suicide. The Parthians then defeated the governor of Syria, Attidius Cornelianus. This set off a Parthian War (161-166), for which the Emperor Lucius Verus was present in the East, even though the campaign was prosecuted by other generals, resulting in the sack and burning of Ctesiphon in 166. The identity of the legion of Aelius Severianus is not specified in the sources; but if we know that a legion was destroyed, and we know that Legio IX Hispana disappears from the record, when that only happens if a legion is wiped out in battle or disbanded because of rebellion, the inference seems reasonable that this was the legion. What other legion would have been wiped out at Elegeia? So speculation about the Picts or Bar Kochba seems superfluous.
A curious footnote to the period of the Antonines is an entry in the Chinese History of the Later Han Dynasty , the
. It is recorded that in the year 166 an embassy arrived in Lo-Yang from a ruler of
, "Great Ch'in," named Andun. This had come up from Vietnam after, apparently, travelling by sea from the West.
Andun looks like it might be "Antoninus," which could mean either Antoninus Pius or Marcus Aurelius, both of whom used the name. Thus, "Great Ch'in" is usually taken to mean Rome, and the embassy was sent to explore ways to redirect the silk trade around the route, the Silk Road through Central Asia, dominated by the Parthians . If so, nothing came of it. The possibility of any communication between the great contemporary Empires of Rome and the Han is tantalizing. My impression has been that Chinese attempts, like the embassy of 97 AD sent by Pan Ch'ao , to establish some communication overland were frustrated by the Parthians. Since we know that the Romans had knowledge of and trade with India and Ceylon , and that Chinese pilgrims like Fa-Hsien went by sea from India to China (399-414), it is not at all impossible or unlikely that some Romans, in the days of the Kushans in India, could have done what the Hou Hanshu says. The History was actually written in the 5th century, and the Chinese were aware that Iranians, which by then meant the Sassanids , were still frustrating attempts at direct trade with "Great Ch'in."
222-235
Persian War, Roman defeats but mutual losses, 230-232
It took a little time for Septimius to put down all the would-be Emperors in the provinces, but he did so with determination and ferocity. The virtues of nobility reputed to Trajan, of culture to Hadrian, of piety to Antoninus, and of philosophy to Marcus Aurelius were all missing in Septimius Severus. Born in North Africa, Punic ( Phoenician ) seems to have been the first language of Severus, and he never lost the accent. This makes it look like Severus was the first Roman Emperor who was not of ethnic Latin derivation. His marriage to the Syrian Julian Domna, of Emesa (Homs), also blew away previous Roman scruples about Roman rulers being associated with Eastern Princesses -- the memory of Cleopatra long put such unions in bad favor. Soon, few Emperors would be of demonstrable Latin derivation.
Severus also doesn't seem to have considered anything other than hereditary succession, despite having a particularly nasty son, Caracalla, as the candidate. His attempt to balance Carcalla with his brother Geta simply got Geta murdered. Another factor, however, was the loyalty inspired in the troops to the family. Septimius had bluntly advised his sons, in the Greek we have from Dio Cassius:
,
,
, Homonoeîte, toùs stratiôtas ploutízete, tôn allôn pántôn kataphroneîte, "Stick together [be of one mind]; enrich the soldiers; be contemptuous of [put out of mind] all the others" [Dio Cassius IX, Roman History, Books LXXI-LXXX, translated by Earnest Cary, Loeb Classical Library, Harvard University Press, 1927, 2001, pp.270-273]. Caracalla, although not sticking with his brother, maintained his popularity reasonably well, until he terrified enough soldiers to precipitate his inevitable murder. This led to the brief and unsuccessful reign of Macrinus (also a North African) and his son, until loyalty to the Severan family prevailed. Macrinus was the first Roman Emperor who never visited Rome during his reign. Meanwhile, the relatively successful campaign of Severus against Parthia, despite the subsequent Parthian defeat of Macrinus, may have weakened the regime enough to allow for the coup of the Sassanid Persians, who would be much more trouble for the Romans than the Parthians had ever been. Septimius Severus himself was one of the two Roman Emperors ( Constantius Chlorus was the other) to die (a natural death) at York (Eboracum) in Britain.
The Severan "family" turned out to be the entirely matrilineal creation of Severus' sister-in-law, Julia Maesa, who brought her two grandsons, entirely unrelated to Severus, to the throne.
The bizarre Elagabalus (sometimes "Heliogabalus"), styling himself the god of his grandmother's Emesan solar cult (and engaging gladiators in combats more amorous and carnal than Commodus had contemplated), and then the amiable and reasonably effective Alexander thus wrapped up the dynasty. Alexander was killed after the overdue reality check of battle, against the newly aggressive Sassanids (224-651). He was not that bad, but evidently not good enough for his own troops, who killed him and his mother -- that his mother was along with him on a military campaign probably seemed no better to the soldiers then than it does now. Elagabalus and his mother were also killed together. Elagabalus, indeed, seems to have been the last truly "fun" Roman Emperor in terms of the pagan sexual antics otherwise fondly remembered from Caligula. The transvestism and bi-sexuality of Elagabalus, however, may have gone beyond even Caligula.
An intellectual revival took place in the time of the Severans. This is called the "Second Sophistic," and in its most general form it represents a revival of Greek literature, and a concern for the Greek literary heritage, after a temporary eclipse by Latin authors. The Second Sophistic was actually named by Philostratus, in his The Lives of the Sophists. The presence and influence of Philostratus at Court was a function of the interests of Julia Domna, his patron. He says that Julia attracted a circle of mathematicians and philosophers. However, this actually meant something more like "astrologers and sophists," and the revival, as philosophy, was more of a retrospective on ancient philosophy than a movement that contributed much that was original or of interest to it. Nevertheless, such an inspiration and preoccupation has been compared to similar concerns in the Renaissance .
In retrospect, the Second Sophistic on its literary side is dated to the previous century, where we see a surge of Greek literature and a decline in Latin authors. It is not an accident that Cassell's New Latin Dictionary, of which I have the 1959 edition [Funk & Wagnalls, New York], only gives the vocabulary of classical authors from "about 200 B.C. to A.D. 100." Frederic M. Wheelock's Latin [Barnes & Noble, 1956, 1966; revised as Wheelock's Latin by Richard A. LaFleur, HarperResource, 2000] lists Tactitus (d.117) and Juvenal (d.127) as the last secular Latin authors. Their "Silver Age" is followed by "The Patristic Period," which lists Latin Fathers of the Church but refers to no secular literature and no secular authors in Latin until Dante(!). This implies that authors like Ammianus Marcellinus (d.395), Orosius (c.418), Boethius (d.524), and Cassiodorus (d.585), and Jordanes (c.551), were insignificant -- likewise for Isidore of Seville (d.636), who nevertheless is quoted by Wheelock (pp.211-212). But secular Latin authors did become rare after 100 AD, and both Orosius and (St!) Isidore had concerns that were as much religious as secular. Ammianus, a Greek himself, wrote his history in Latin out of worry that the genre might die out -- as it would, indeed, in its most sophisticated form, with him. Meanwhile, Greek literature, in turn, flowers, as we get Plutarch (d.120), Arrian of Nicomedia (c.87-c.145 AD, Consul 129), Pausanius (c.150), Lucian (d.180), Aelius Aristides (117-181), Dio Cassius (d.229), and others (not to mention the long tradition of Neoplatonic philosophers ) -- who are never confused with or obscured by the Greek Fathers -- through the rest of the history of Rome and Romania.
A characteristic of the Second Sophistic, such as we see in Arrian, the 2nd century historian, philosopher, and official (he repelled the Alans from Cappadocia -- and he transcribed the teachings of Epictetus the Stoic ), and the others, is the movement to write in Attic Greek , rather than in the Koiné of the Hellenistic Period. This is usually dismissed as an affectation and a frivolity. Perhaps it was, but it is also directly comparable to the concern of Renaissance writers to restore the "purity" of Ciceronian Latin over the received Mediaeval Latin that had survived to their time. Renaissance writers are rarely belabored for affectation because of this. And indeed, where Greek and Latin are taught today, the student, as it happens, begins with Attic Greek and Ciceronian Latin. The focus on Attic Greek in education, which began with the Second Sophistic, thus continued straight through the Middle Ages and has been in full flood through all of modern education in Classical Greek. When Greek speaking refugees fled the Ottoman Conquest, they did not teach Italians the spoken Greek of their time but the Attic Greek whose example and literature they respected. Indeed, Renaissance scholars could not have read Thucydides or Plato otherwise. The "purity" of the Greek language remains the political issue in Modern Greece .
More than an affectation, this Atticizing tradition accompanies the circumstance that the earliest and most interesting and some of the most important literature in these languages, especially for new scholars, is in the Attic and Ciceronian dialects -- from Thucydides and Plato to Caesar and Cicero himself. Preserving the archaic language meant that the authors could still be read in their own words. Perhaps Classicists are somehow annoyed that the Ancient and Mediaeval authors in Greek actually agree with them that the surpreme models of the Greek language are in Attic.
These are the languages, our Classical languages of Western civilization, and their literature, that we do not want forgotten, if the root values and experience of our civilization are not to be forgotten. But their existence is in greater danger in our time than ever before: a Shakespeare with "little Latin and less Greek" is a scholar of Classics compared to most graduates of modern universities. Latin used to be taught in my high school, but now it is not even offered in the college where I taught for 22 years.
One reason today for disparagement of the Second Sophistic, although this will not be an issue for Classicists, may in part be the antipathy in academic linguistics for written language and unconcern for the preservation of the literary heritage embodied in Classical Languages. This may accompany a self-hating, anti-Western bias that is often evident in both linguistics and other academic literature when the animus curiously tends to be focused on Greek and Latin rather than on Classical Arabic, Sanskrit , or Classical Chinese , whose preservation and use are generally exempted from criticism. The politically correct are happy to destroy their own tradition but sensitive (and cowardly) about doing this where accusations could be made of ethnocentrism, Eurocentrism, " Islamophobia ," or racism.
The disposition of the Legions in the Severan Army now is looking pretty familiar. Warren Treadgold [Byzantium and its Army, 284-1081, Sanford, 1995, p.45] says that the Army of 235 AD contains 34 legions plus the Praetorian Guard. On the map above, I only show 33, as gleaned from maps in the sources cited. Treadgold estimates the total Army, legions plus auxiliaries, at around 385,000 men. In the sources given, the legions are only named by A.H.M. Jones [The Later Roman Empire, 284-602, Volume II, Johns Hopkins, 1986, pp.1438-1444]. Jones tentatively places Legio IV Italica in Mesopotamia, which would raise the total legions to 34, as in Treadgold. These are the last days of the Classic Army of the Principate. After the Crisis of the Third Century, the structure, constituents, and even command ranks of the Roman Army are going to be very different. The traditional legions persist by name, but they are absorbed into command structures where they eventually lose their old identity.
It is noteworthy that in my sources on the Severan Army, the Legions are named by Jones and by Adrian Goldsworthy in The Complete Roman Army [Thames & Hudson, 2003], but neither Goldworthy nor the other sources cited on the map give the locations of the Severan Legions. Jones places them in the text, in the context of the Army of the Dominate. Recently, The Roman Army, the Greatest War Machine of the Ancient World, edited by Chris McNab [Osprey Publishing, 2010], does not have a list of any Legions, so the neglect of the Severan Army is less conspicuous. But the McNab book is curious in that the "Later Empire" is dated to begin in 200 AD, right in the middle of the reign of Septemius Severus, even though in the text the discussion of the Later Army begins with Alexander Severus or Constantine [p.206]. Thus the period the Severans is, after a fashion, cut out of the history altogether. No source, except Jones again, bothers with the Legions of the Army of the Dominate, which mulitply in number and are smaller than the Legions of the Principate but whose identity often continues, even in the place of their previous posting, as with the Legio II Augusta and Legio VI Victrix in Britain.
Legions of the Roman Army
So why the lacuna or the short shrift for the Severan Army? Well, it may be that Classicists are beginning to lose heart. Interest in the Empire declines, step by step, as we move away from the Julio-Claudians. The Antonines still draw a good bit of enthusiasm, with Marcus Aurelius and Commodus turning up in some Hollywood movies. But treatments like that are swamped by the popular representations of Caesar, Augustus, Tiberius, Caligula, Claudius, and Nero. And then, after Commodus, silence. Even the two hour History Channel special, "Roman Vice," ended with Nero, passing up the chance to treasure one of the most vicious Roman Emperors of all, Caracalla, and one of the bizarre, Elagabalus. Earlier popularizing authors may have shied away from the extremes of the behavior of Elababalus, who did things that used to be taboo in polite conversation; but that is no excuse now, when that should be one of the most appealing things about him. It is as though there is a sense of unease. The closer we get to Constantine, about whom feelings are so mixed, confused, and generally hostile, it is as though a force field begins to be felt that inhibits movement. The great drama of the Tetrarchy, with the extraordinary personalities and events involved, leaves modern historical fiction, and Hollywood, cold. The most that the public gets for the period are the tendentious, preposterous, and ahistorical speculations and misrepresentations of The Da Vinci Code. Even the straight historical treatments on the cable networks, which do remind us that people like Aurelian, Diocletian, Majorian, and Justinian at least exist, are usually no less tendentious, as I have occasion to note here.
Rome and Romania Index
B. CRISIS OF THE THIRD CENTURY, 235-284, 49 Years
This map looks like it should be from the Fifth Century . The Goths, not yet divided, are here, but they come in part by boat, which we will not see with them later. The Franks here duplicate the later course of the Vandals , through Gaul, Spain, and North Africa, but without the same effects. Later, the Franks will not be a principal invader but will be the ultimate beneficiary of the invasions. The Alemanni also will be less active later, remaining in Germany and leaving their name as the word for "German" in Romance languages. Rome is weakened by revolt in the West and a Palyrmene takeover in the East. But in this era Roman institutions prove resilient enough to restore the status quo ante (with troubling strategic withdrawals). But the Germans remain across the Rhine and Danube, growing in numbers and sophistication. One might even say that all this was a dress rehearsal for the later invasions. In the theater, if the dress rehearsal goes poorly, the opening will go well. This is what happened.
The Gallic Empire of Postumus began under Gallienus. Postumus, of course, probably would rather have overthrown the Emperor, but he was not able to defeat him and was otherwise involved with fighting Germans. In best Third Century tradition, he was killed by his troops. This form of succession continued until Tetricus and his son surrendered to Aurelian, on condition of their peaceful retirement. This episode echoes the attempt of the usurper Constantine "III" in the Fifth Century, though that failed to suppress the Germans in that era and merely served to absorb the attention of Roman forces that could have been better used, in conjunction with those of Constantine himself, against the common enemy.
The Palmyrene Empire had a very different origin and course from that in Gaul. Odaenath, the King of Palmyra (c.260-266), was a Roman ally. After the capture of Valerian, he actually defeated and expelled the victorious Persians. This earned him Roman gratitude and titles, like Dux Romanorum. It also left him as the de facto ruler of the East. Odaenath was murdered and succeeded by his wife Zenobia, who then joins Cleopatra and Boudicca (Boadicea), if not Dido, in the ranks of the conspicuous and romantic female enemies of Rome. This grew gradually, as Roman weakness tempted Zenobia's ambition. When she moved into Egypt and Asia Minor in 269-270, trouble was definitely brewing, but it was her proclamation of her son Vaballathus as Emperor that brought Aurelian out against her. She was exhibited in Aurelian's Triumph but then allowed to live out her life on a pension in Rome. Palmyra became a Roman outpost. Today, its ruins are extensive, beautiful, and evocative, out in the emptiness of the Syrian desert, next to the Oasis and the small modern city. The Oasis gave the city its importance as an essential link in the caravan short-cut across the desert from Mesopotamia to Syria. Even greater enemies of Rome have far less to show for themselves today.
Palmyra has entered modern history in the ugliest way. In 2015, the savage forces of the "Islamic State" (ISIS or ISIL) captured the town from the Syrian government. They executed the lead archaeologist of the site along with dozens of other people, apparently including women and children. And, like their previous action in Iraq, following the precedent of the Tâlibân in Afghanistan , they began to destroy ancient buildings, particularly temples. The impressive ruin of the Temple of Bêl, which stands by the road into both the ancient and the modern town, is shown in the photograph above. Its walls are all but intact. Above the recessed altar was a beautiful roseate ceiling. A stair within the walls led up to the top, affording an impressive view of the area. But the (literally) bloody fanatics of ISIS blew up the building and reduced it to rubble, so that nothing, apart from the entrance pylon, remains. This was a United Nations World Heritage Site, and one of the most evocative jewels of ancient history. It tells us whose these people, invoking Islam , really are. To be sure, their eagerness to cut the heads off civilian hostages, on camera, stamps them as evil in a way whose like may not have been seen since Auschwitz , but their contempt for the past, for history, for art, and for beauty staggers the mind in a unique way. They are openly proud of it, as even the Nazis never were for their crimes.
Having visited Palmyra twice in 1970, my photographs are now perhaps significant historical records -- in a tradition going back to the Ruins of Palmyra, a survey by Robert Wood published in 1753. And since my photographs are all slides, they will need to be converted to digital format. It is extraordinary to now have vandalism of the city by people who seem to actually hate the past, even while they vainly hope that a revived Islam will give them the power that the Islamic world has otherwise been unable to achieve through conventional political and economic means. Or they may actually want nothing more than death and destruction, if this serves to bring on the Apocalypse. In those terms, they may have no positive goals at all.
Maximinus I Thrax
M. Aurelius Carinus
283-285
The chaos that had threatened in some earlier successions (in 69 and 193) now arrived in 238, when we can say that there were five Emperors in one year. Maximinus Thrax may have been the second Emperor who never visited Rome. He was on his way there, because the Senate had recognized the usurpation of the Gordians in Africa, when the Praetorian Guard murdered him at Aquileia. Meanwhile, of course, Gordian II had been killed in battle by a Maximinus loyalist, the governor of Numidia. Gordian I committed suicide. So neither Gordian made it to Rome either. The confused Senate elected the Senators Balbinus & Pupiens Co-Emperors. When the Guard murdered them in turn, only their nomination of Gordian III as Caesar provided for a reasonable succession. If only that were the end of problem.
The complexity of the following period can only be appreciated, or even understood, by reviewing the " Crisis of the Third Century " chart. Few Emperors reigned long or died natural deaths. Gordian III's six years would count as lengthy for the period, but his murder would prove all too typical. The musical chairs of murders did not help prepare the Empire for increased activity by the Germans and Persians.
Decius and Herennius were killed in battle by the Goths in 251 -- the only Roman Emperors to die in battle (against external enemies) besides Julian (against the Persians, 363), Valens (against the Goths again, 378), Nicephorus I (against the Bulgars, 811), and Constantine XI (with the fall of Constantinople to the Turks, 1453). These Emperors are now marked with a "killed in battle" icon --
. Valerian's relatively long and promising reign ended with the unparalleled ignominy of being captured by Shapur I -- the only Roman Emperor captured alive by a foreign enemy until Romanus IV in 1071. These Emperors are now marked with a "captured by foreign enemy" icon --
-- which is the Egyptian hieroglyph of a bound prisoner, used in words for "rebel" and "enemy." Some other rulers were also captured by foreign enemies -- the Latin Emperor Baldwin I (by the Bulgarians), the Emperor of Thessalonica, Theodore Ducas (by the Bulgarians), and the Prince of Achaea, William II (although he was captured, not by a foreign enemy, but by the forces of Nicaea ). Valerian was kept prisoner and subject to various humiliations until executed. His skin was then flayed (unless he had been flayed alive), stuffed, and kept for later display to Roman emissaries. In any case, this is what we are told by later Romans, such as Lactantius, and questions have been raised about the reliability of these accounts, for which there is no contemporary or Persian evidence. Valerian, however, certainly never returned home.
Valerian's son Gallienus then endured one invasion and disaster after another, with the Empire actually beginning to break up. Nevertheless, Gallienus rebuilt the army and, excluding Senators from legionary commands, put in place the generals who, although his own murderers, conducted the reconstruction of the Empire. He thus now tends to get some credit, even with the apparent collapse around him. Despite a short reign (and a natural death), Claudius II began to turn things around by defeating the Goths, commemorated with a column that still stands (but is rarely seen in history books) in Istanbul. His colleague Aurelian then substantially restores the Empire, only to suffer assassination, initiating a new round of revolving Emperors. This finally ended with Diocletian, who picked up reforming the Empire, militarily, politically, and religiously, where Aurelian had left off.
Amid all the other upheavals of this period, one that that escapes the notice of popular culture, and often that of historians also, is how the Empire ceases to be a possession of the City of Rome. The political structure of the Roman State turns inside out, with the City becoming a backwater and the provinces and the frontiers becoming the centers of political life. We begin to get the phenomenon of Emperors who rarely, or never, even visit the City. They certainly do not live there. For the time being, the equivalent of an administrative Capital of the Empire simply moves with the military camps of the Emperors. Once things settle down a bit in the following years, we begin to see new seats for the Court(s) and new administrative centers, from Nicomedia and Milan, to Antioch and Trier, Sirmium and York -- all culminating in the founding of Constantinople. Yet it is rare to vanishing to see this profound truth of Roman history ever asserted in a public voice; and we usually find even the historically literate laboring under the impression that the fate of the Empire hangs on events in the City, right down to the day when the barbarians burst in on the Last Emperor in 476. Of course, as we shall see, nothing of the sort happened in 476, and in fact nothing of significance happened at all in the City of Rome during that year.
Not much in the way of dynasties in this period. Many Emperors, of course, wanted to associate their sons with them to arrange for their succession; but in the violent ends
of most Emperors, the sons usually died with them. Gordian III, Gallienus, and Carinus are the principal exceptions, ruling in their own right after the death of fathers or, with Gordian, uncle and grandfather.
The invasions and political troubles of the Third Century shook the religious and philosophical certainties upon which Rome had previously thrived. Exotic religious cults, like Mithraism and Christianity, now began to exert wide appeal; and a profound shift occurred in philosophy. We no longer hear much of Stoics or Epicureans, but whole new perspectives and concerns are ushered in by the mystical Egyptian Plotinus (d.270), who even enjoyed some Imperial patronage under Gordian III, Philip the Arab, and Gallienus. He makes the Second Sophistic look superficial indeed.
With his return to the epistemology and metaphysics of Plato and Aristotle, Plotinus, as such the founder of Neoplatonism, picks up the mainstream of development of the Western philosophical tradition, which had somewhat detoured in the Hellenistic Period through revivals of Presocratic doctrine (Heraclitus for the Stoics, Atomism for the Epicureans). Plotinus's student, disciple, Boswell, and editor Porphyry (d.>300), who first enjoyed patronage from Aurelian, promoted Neoplatonic principles, wrote an introduction to Aristotle's logical works, the Isagoge, which became an indispensable text in the Middle Ages, and even began organizing the defense of traditional religion in his Against the Christians, whose arguments he gave in a presentation to the Emperor Diocletian, urging him to suppress the religion. But the Neoplatonic version of traditional religion now looks much more of a piece with Christian sensibilities than with things like the peculiar and archaic practices examined by Frazer in The Golden Bough. Constantine would later order Against the Christians burned. The cultural and intellectual sea change of the period, soon followed by Diocletian's reforms and then Constantine, usher in the distinctive world of Late Antiquity. Classicists start to become nervous and irritable.
II. SECOND EMPIRE, EARLY "ROMANIA,"
284 AD-610 AD,
Era of Diocletian 1-327, 326 years
Thus Constantine, an emperor and son of an emperor, a religious man and son of a most religious man, most prudent in every way, as stated above -- and Licinius the next in rank, both of them honoured for their wise and religious outlook, two men dear to God -- were roused by the King of kings, God of the universe, and Saviour against the two most irreligious tyrants and declared war on them. God came to their aid in a most marvellous way, so that at Rome Maxentius fell at the hands of Constantine, and the ruler of the East [i.e. Maximinus Daia] survived him only a short time and himself came to a most shameful end at the hands of Licinius, who at that time was still sane.
Eusebius of Caesarea (c.260-c.339), The History of the Church [translated by G.A. Williamson, Penguin Books, 1965, p.368]
L'altro che segue, con le leggi e meco,
sotto buona intenzion che fé mal frutto,
per cedre al pastor si fece greco:
The next who follows, with the laws and me,
with a good intention which bore bad fruit,
made himself Greek, to cede [the West] to the Pastor. ora conosce come il mal dedutto
dal suo bene operar non li è nocivo,
avvegna che sia 'l mondo indi distrutto. Now he knows how the evil derived
from his good action does not harm him,
though the world should be destroyed thereby.
Dante Alighieri (1265�1321), The Divine Comedy, Paradiso, XX:55-60 [Charles S. Singleton, Princeton, Bollingen, 1975, pp.224-225, translation modified], speaking of Constantine in the Heaven of Jupiter and of the "Donation of Constantine" (Constitutum Donatio Constantini) to the Pope -- a document later exposed (1440) by Lorenzo Valla (c.1407-1457) as a forgery.
Rome, queen of the world, thy fame shall never perish,
for Victory, being wingless, cannot fly from thee.
Anonymous, "On [New] Rome," [The Greek Anthology, Volume III, Book 9, "The Declamatory Epigrams," Number 647, The Loeb Classical Library, Harvard University Press, 1917, p.358-359]
The "Second Empire" is a period of transformation whose beginning and end seem worlds apart. Even at the beginning, however, Classicists find themselves becoming uncomfortable, in large part because they are now rubbing shoulders with Byzantinists, Mediaevalists, and, worse, historians of religion and, gasp, even of the Church. In the Middle Ages, this was regarded as a triumphant period, when the Roman Empire was redeemed and ennobled with its conversion to and transformation by Christianity -- becoming a "Romania" whose name is now not even familiar as the name of the Roman Empire. In Modern thought, this construction tends to be reversed, with the superstition and dogmatism of Christianity dragging the Classical World down into the Dark Ages. At the same time, however, there is still a strong attraction to the idea of blaming the collapse of the Empire on the characteristics of pagan Roman society -- slavery, the Games, sexual license, corruption, etc. Since this is more or less the Christian critique of pagan society, we have the curious case of critics maintaining the perspective of Christian moralism even while rejecting Christianity as the appropriate response. This not entirely coherent approach also results in the doublethink of moral satisfaction with the "fall" of the (Western) Empire in 476 while carefully ignoring the survival and resurgence of the Empire in the East. The truth, as it happens, is one of continuity. The very same institutions, both Roman and Christian in sum and detail, that failed in the West in the face of the German threat, did just fine in the East, long outlasting, and in two dramatic cases defeating, the German successor kingdoms. Nevertheless, these were hard times, and worse lay ahead. What neither Trajan nor Constantine nor Justinian could have anticipated were the blows that would fall next.
A. "DOMINATE," 284-379, 95 years
1. TETRARCHS
[Domitius Alexander]
Usurper 308-311, Africa
Intrinsically one of the most interesting and important periods in Roman history, the Tetrarchy unfortunately suffers from the relative poverty of the sources we have for it. Despite the rich literature of the 4th century, Diocletian never got a Tacitus or Suetonius, and what Ammianus Marcellinus may have said about him is now lost. Part of this may be because history moved so quickly after Diocletian. He could still have been alive when Constantine legalized Christianity, and it was, of course, Constantine whom subsequent Christian writers wanted to glorify. But Diocletian created a system that was the closest to a constitutional order than Rome ever had. Its enemy was hereditary succession, which had triumphed in Constantine, if imperfectly, by the end of the period. So here, not just in religion, we have a turning point. The succession by appointment, adoption, or marriage of the Antonines is now seen for very nearly the last time. The complexity of this, and of events, can be seen, not just in the following genealogy, but in the Chart of the Tetrarchy . As the first Emperor with a very clearly Greek name --
, Dioclês, before being Latinized to Diocletianus (although we shouldn't forget the Greek name of Philip the Arab and his son) -- Diocletian foreshadows the later Greek character of the Empire. It is also from this point that the status of the
Emperor is elevated far beyond that of a mere official to a being with semi-divine status, altering the form of government from the "Principate" to "Dominate," from Dominus, "Lord." The Roman Court now begins to adopt the structures and ritual of the Persian Court , where the Great King has always been semi-divine. The symbolic accouterments of the Emperor, like the Purple (Porphyrius) robe and red shoes, become fixed until the Fall of Constantinople. The fiction that the Emperor is actually a kind of Republican official is now gone -- although the ultimate executive offices of the Republic, the Consulates, survive until Justinian.
He is a Monarch in form and substance. This elevation was simply transformed, not rolled back or abolished, by the Christianization of the office. Indeed, Christian Emperors, beginning with Constantine, would always be portrayed with halos, like saints, and were called the "Equal to the Apostles." European monarchs never went that far.
At right is an extraordinary group in porphyry of the Tetrarchs. This was looted from Constantinople in 1204 and placed at a corner of St. Mark's Cathedral in Venice . Its origin was subsequently forgotten, and Peter Brown says it "was long mistaken for Christian crusaders, and even worshipped as statues of St. George!" [The World of Late Antiquity 150-750, HBJ, 1971, p.22]. Where it came from was recently proven when the foot that is obviously missing from the figure on the right was discovered in situ in Istanbul, before the Bodrum Camii (Jami-i, "its mosque"), previously the Myrelaion Church, in the original Philadelphion square [cf. Constantine, Roman Emperor, Christian Victor, by Paul Stephenson, The Overlook Press, New York, 2010, p.199].
In 305 Diocletian actually retired from office, going to live at his retirement villa (more like city) at Spalatum (Split) near Salonae (Solin) in Dalmatia (now Croatia ) -- see J.J. Wilkes, Diocletian's Palace, Split: Residence of a Retired Roman Emperor [Oxbow Books, Oxford, 1986, 1993]. This may have been at the urging of Galerius, who was eager for full power, and was taken with ill grace by Maximian, who tried to return to power twice and was finally killed (by Constantine). Diocletian's joy at his retirement, and the famous celebration of his cabbage, I discuss elsewhere as a paradigm of
Epicureanism . Although Constantius Chlorus became the senior Augustus, both of the new Caesares are apponted by Galerius from among his own supporters. This was improper and involved passing over the competent sons of Constantius and Maximian (Constantine and Maxentius), apparently because Galerius didn't like either of them. It is hard to know why Constantius consented to these proceedings, and they proved to be the source of fatal conflict in the Tetrarchy.
As it happened, Constantius died, and Constantine was presented by his troops as an Emperor fait accompli. Maxentius then revolted, dragged his father into it, and then at least co-opted Constantine to this development.
By 308, Severus had been captured and killed moving against Maxentius, and Galerius had also failed to unseat him. Galerius then called a conference at Carnuntum on the Danube in Upper (Superior) Pannonia (just down the river from modern Vienna, Roman Vindobona).
Diocletian was invited to the meeting was even offered the throne, but he declined it -- saying he would rather grow vegetables -- specifically his cabbages. This extraordinary forbearance on the part of Diocletian, especially his obvious determination to "cultivate his garden," ought to have made him a saint to Epicureans , especially later, Modern ones. Curiously, it did not. Thus, Diocletian seems to have the approval of neither Christians nor non-Christians. Possibly, secularists dislike him for the forms of the Dominate that prepared the way for the later Christian Monarchy.
The result of the conference was the demotion of Constantine to Caesar (again), the appointment of Licinius as Augustus, the second retirement of Maximian, and the condemnation of Maxentius as an outlaw. The appointment of Licinius, who had never been a Caesar, was again an improper proceeding and reflected the custom of Galerius to use his own supporters, despite the implicit rules governing succession in the Tetrarchy. Constantine and Maximinus Daia were soon calling themselves Augusti anyway, and so the Tetarchy became a system of four equals, with Galerius preserving some precedence until his death.
A noteworthy act at the conference at Carnuntum was the dedication of an altar to the god Mithras, as the fautor imperii, "protector of the Empire." Mithraism considered Mithras to be a sun god, associated and assimilated with Sol Invictus, the "Unconquered Sun," whose cult existed independently of Mithras and had been promoted since Aurelian. Mithraism, although popular in the Army (only men were initiated), was not an Imperial or prestige cult, until this dedication, Deo Soli Invicto Mithrae, "to the god Mithras the Unconquered Sun." We might see this as one of the last acts in the development of state paganism, before Constantine becomes a patron of Christianity and gods like Mithras disappear.
Licinius was the presumptive Augustus of the West, but he never moved toward Italy or made any attempt to overthrow Maxentius. This was left for Constantine. Meanwhile, Maxentius had whipped up enthusiasm at Rome with the promise that, after a century, he would return the seat of Government there and would restore the withering Praetorian Guard to its status and privileges as the Life Guard of the Emperor. Enthusiasm faded, however, as Maxentius' status as a rebel isolated Italy and compelled him to raise taxes -- the City had treasured, as we might imagine, its tax exempt status. So Constantine was not unwelcome when Maxentius was defeated and killed. Constantine did, indeed, pay a bit more attention to Rome than the previous Tetrarchs; but then it would be Constantine (after Licinius had killed Maximinus Daia, and Constantine Licinius) who would found an entirely new Capital for the Empire at Constantinople. Rome itself would never return to its previous position, and Italy would continue to be ruled, as under Maximian, from Milan (and then Ravenna) [ note ].
One of the most famous aspects of Diocletian's rule is the famous "Edict on Maximum Prices" of 301 AD, which fixed prices of many basic commodities. Since Diocletian himself explains the law as needed to prevent some from profiteering off of the basic needs of others, this is turns out to be relevant to many modern debates. The " greed " of those who make a profit while prices rise is still a point of useful political appeal for many politicians and leftist activists. It looks, however, like prices, especially agricultural prices, were rising under Diocletian because the tax burden had become so large that many people simply abandoned their farms -- Diocletian also tried forbidding this. Since Dioceltian himself was not a sympathetic person to Christian writers, the charge of "greed" tends to get turned around, as the contemporary writer Lactantius, appointed by Diocletian himself as a professor of Latin literature in Nicomedia, the capital, says, "...Diocletian with his insatiable greed..." Lactantius' account of bureaucratic excess and behavior could apply in many modern situations:
The number of recipients began to exceed the number of contributors by so much that, with farmers' resources exhausted by the enormous size of the requisitions, fields became deserted and cultivated land was turned into forest. To ensure that terror was universal, provinces too were cut into fragments; many governors and even more officials were imposed on individual regions, almost on individual cities, and to these were added numerous accountants, controllers and prefects' deputies. The activities of all these people were very rarely civil... [J.J. Wilkes, Diocletian's Palace, Split: Residence of a Retired Roman Emperor, op. cit., p.5]
Not only now are there whole countries where the dependent classes exceed the numbers of the productive classes (e.g. Italy or France), but in the United States the fate of the Social Security system will probably be sealed when the number of beneficiaries exceeds the number of contributors. These modern systems, although voted in by popular majorities who like "free lunch" welfare politics, are run by bureaucrats whose behavior, of course, is "very rarely civil" either to contributors or beneficiaries. And modern bureaucrats are protected from accountability by "Civil Service" status and their own politically active and powerful public employee labor unions. Yet politicians rarely characterize or criticize such people for their own self-interest or greed, although this phenomenon is now well understood and described in Public Choice economics. While the behavior of the bureaucrats is understandable, the harshest truth is that, with sovereignty no longer invested in a autocrat like Diocletian, the ultimate "greed" today is derived from the voters.
The map reflects some recent developments in scholarship. Previously, the Goths were regarded as already divided into the Visigoths and Ostrogoths , with the Ostrogoths developing an "empire" that was thought to have stretched all the way back to the Baltic Sea. This culminated under King Ermanaric (i.e. "King [riks] Herman," where "Herman" itself is from [h]er[i], "army," and man, "man"), who committed suicide when defeated and subjugated by the Huns around 370. Now it looks like, for all their divisions, the Goths were not divided, or identified, in the terms that later became familiar for the Kingdoms in Spain and Italy. Ermanaric was King of the Greuthungi, and it is unlikely that he ruled a domain that stretched to the Baltic. Indeed, it doesn't even look like it even reached the Don in the east. The Goths who were granted asylum on Roman territory in 376 were the Tervingi, led by Alavivus and Fritigern. After their revolt, however, the Greuthungi joined the Tervingi. With some other Gothic groups, these all became the Visigoths. The Ostrogoths developed later, around a core led by the Amal dynasty. These changes in view are now recently explained by Peter Heather in The Fall of the Roman Empire [Oxford, 2006]. Although the Huns subjugated all the Goths but the Visigoths, the Goths nevertheless exercised considerable cultural influence on them. Thus, we find Attila with a Gothic name, "Little Father." But while atta was the Gothic word for "father," it is curious that ata is still the Turkish word for "father." Indeed, adda was Sumerian for "father." Winfred P. Lehmann (A Gothic Etymological Dictionary, E.J. Brill, Leiden, 1986, p.46) explains these correspondences as a coincidence of "nursery words" -- "No need to assume borrowing in spite of earlier attestations, such as Hitt[ite] attas, which Puhvel [Hittite etymological dictionary, 1984] derives 'from infantile language'" [p.46]. This strikes me as a bit unsatisfactory, though perhaps no more than the alternative: that this is another fragment of evidence for a connection between Indo-European and Altaic languages, and Sumerian.
2. CONSTANTIANS
Fl. Jovianus
363-364
If the Tetrarchy was a major turning point in Roman history, with Constantine we are right around the corner and looking down a very different avenue of time. Here is where the die-hard paganophile Romanists check out, and where the Byzantinists check in. But the changes that take place are mostly, as they had been for some time, gradual. Even Constantine's Christianity was a gradual affair. He did not actually convert until on his deathbed; and although he outlawed pagan sacrifice, he did not close the temples or otherwise show disrespect or hostility to the old gods, and in fact seems to have long still invoked
Sol Invictus, the "Unconquered Sun" of Aurelian and Diocletian. He may have imagined a sort of syncretism such as had been common in the old religions but that was not going to be tolerated in Christianity -- indeed, an element of syncretism remains in the name of the Holy Day of the week for Christianity, "Sunday," which Constantine himself called "the day celebrated by veneration of the sun itself" (diem solis veneratione sui celebrem). Even if Constantine banned blood sacrifice (it is not clear that he did, but is often said to have), this reformed a practice of worship whose critique went back at least to Heraclitus, who marveled how spilled blood, otherwise polluting, could be thought clean and sacred .
When Constantinople was built, the old acropolis was left alone. Indeed, it may have been left alone for much of the Middle Ages -- I am only aware of a couple of Mediaeval institutions in the area. One was the Church and Monastery of St. George of Mangana, which had a hospital attached. Another was a complex built by Alexius Comnenus with an orphanage and a home for old soldiers, the blind, and other disabled persons. It sounds like there was room for Alexius to build these institutions. In the Eighth century there is a reference to the Kynegion, an arena that survived from earlier Roman animal fighting shows. The comment in the Brief Historical Notes is that the ancient pagan statues in the arena still contain dangerous powers. A statue is supposed to have deliberately fallen on and killed a man named Himerios in the reign of Philippicus Bardanes [cf. Judith Herrin, Byzantium, The Surprising Life of a Medieval Empire, Princeton & Oxford, 2007, p.123]. The astonishing thing is that any such statues should still have been there almost four hundred years after Constantine. In the same way, a statue of Athena is supposed to have still been standing on the acropolis when the Fourth Crusade arrived in 1203. Remarkably, this may have been the bronze statute of Athena Promachus which had stood in the open on the Acropolis at Athens, reportedly visible from out to sea, and was moved to the new city by Constantine (Anthony Kaldellis denies this, but without explanation; cf. The Christian Parthenon, Cambridge, 2009, p.106). The statue was finally only then thrown down because some thought that by her outstretched hand she was beckoning to the Crusaders. It is now hard to tell what may have been on the acropolis all that time because the site was finally put to a new use by the Ottomans , who built the great Topkapï Palace there. It is certainly the right place for such a building, and so one is a little surprised to learn that no secular building, as far as we know, was put there all the years of Romania.
The impression is of much other Classical statuary in Constantinople. This is confirmed in a remarkable text, the Patria of Constantinople, according to Hesychios Illoustrios, from the 10th century, which details much in the way of the buildings, statues, and lore of Constantinople [Accounts of Medieval Constantinople, the Patria, translated by Albrecht Berger, Dumbarton Oaks, Harvard, 2013]. We learn from the Patria that a statue of Hera stood in the Forum of Constantine [p.51], and this is confirmed quite by accident. The matter comes up because the Latin Emperors pulled it down to melt it for the bronze. The source of our information, the contemporary historian Niketas Choniates, consequently called the Franks "these barbarians, haters of the beautiful." But they were just desperate for money, and they treated much other art the same way, even looting the metal roofs from many buildings. Unfortunately, when the Emperor Constans II had visited Rome in 663,
also needing money, he stripped the bronze roof and ornaments from the Pantheon and other buildings, unintentionally creating the precedent for the Crusaders! But it turns out that Constans didn't take all the bronze from the Pantheon. Later, looking for bronze to make the altar canopy, the baldacchino, for St. Peter's Basilica, the great sculptor Gian Lorzenzo Bernini was given permission by Pope Urban VIII to "strip the ancient bronze cladding from the portico" of the Pantheon [Robert Hughes, Rome, A Cultural, Visual, and Personal History, Vintage, 2012, p.285]. So Constans had left some.
Earlier, we get a similar revealing reference.
Arethas of Patras , Archbishop of Caesarea in Cappadocia in the late 9th century (d.c.932), noted in the margin of his copy of the orations of Aristides (which we possess) that an ivory statue of Athena, mentioned by Aristides, must be the one still standing in the Forum of Constantine (like the statue of Hera) by the entrance to the Senate [cf. the Patria, p.51]. He adds that across the Forum from this statue is one of Thetis, with crabs decorating her hair [N.G. Wilson, Scholars of Byzantium, Duckworth, 1983, 1996, p.124 -- there is no reference to Thetis in the Patria]. We have no clue about the subsequent fate of these statues.
The earliest mention of anything of the sort, by Lactantius again, is that Constantine had a dream where he was shown the "cypher of Christ," the Greek letters Chi and Rho, which he caused to be put on the shields of his soldiers. Later versions thus increase the dramatic and miraculous elements of the event, using what later would become the most symbolic of Christianity, the Cross. Using a Christian symbol in any form, however, and for any reason, would have been dramatic enough.
What Constantine was like as a person and what his motives were in favoring Christianity is now a matter influenced more by modern debates than by the historical record. In this, the evaluation of Constantine is much like that of the Egyptian "heretic" King Akhenaton , about whose real personality there is little historical information. Was Akhenaton a mystical dreamer? A fanatic? An earnest reformer? A cynical manipulator? Similar questions can be asked about Constantine. Especially noteworthy are projections of Protestant anticlericalism back onto Akhenaton (good -- attacking the power of the priests of Amon) or Constantine (bad -- creating the power of Catholic priesthood).
Less strictly Protestant, but its ideological successor, is the New Age naturalism and rationalism that favors the Gnostics as true and proper Christians and views Constantine as an oppressor who built his oppressive patriarchal, supernaturalistic, and clericalist ideology into the structure of the Catholic Church. This leads off into farcical conspiracy theories such as we see in The Da Vinci Code [2003], where little effort is expended on historical accuracy.
In general, Mediaeval and Modern evaluations of Constantine are going to be broadly different. In the Middle Ages, Constantine, the initial great protector and patron of Christianity, was seen as one of the best of rulers, noble, good, wise, and pious. That he was made a Saint in the Eastern Church but not in the Western may have been due to a few too many murders in his resumé (his son Crispus, his wife Fausta, and his brother-in-law and co-ruler Licinius, who had been granted protection after his surrender) -- or to Papal disinclination to honor the founder of Constantinople, the seat of the Pope's Patriarchal rival . Nevertheless, we find Dante placing Constantine in favored glory in Heaven (The Divine Comedy, Paradiso, XX:55-60). His main complaint was that Constantine had made the Pope ruler of the Western Empire -- according to the fraudulent "Donation of Constantine " (Constitutum Donatio Constantini), a text used by the Papacy to bolster its claims to secular authority until exposed (1440) by Lorenzo Valla (c.1407-1457) as a forgery. Modern evaluations, in turn, may reflect the noted Protestant hostility towards the Catholic Church or the rationalistic critique of religion, and especially of its supernatural aspects, dating from the Enlightenment.
The modern perspectives provided little reason to view Constantine either with admiration or even compacency, with the potential for real hostility to emerge. Thus, a recent British television series on Roman history dramatized Constantine in terms borrowed from the Godfather movies [1972, 1974, 1990].
As we see Constantine piously reading to the Ecumenical Council at Nicaea the new Creed (the Nicene ) formulated there, his men are off, in the best tradition of the Corleones, murdering Licinius (as they later would Licinius' young son, Constantine's own nephew). This seems to involve the judgment that Constantine was essentially a gangster, to whom religion was really no more than a cynical device in power politics. But before we get all weepy about Licinius, we should remember that in a bit of housecleaning he had murdered not only the wife, eight-year-old son, and seven-year-old daughter of Maximinus Daia, but also the widow, Prisca, of Diocletian, Valeria, the daughter of Diocletian and widow of Galerius (who, on his deathbed, had entrusted his old friend Licinius with her protection), her adopted son, and, just to be sure, the son of the hapless and probably otherwise forgotten Caesar and Augustus Severus. If Constantine executed this man, we might not exactly want to congratulate him, but we certainly cannot see Constantine's behavior as any worse. If Constantine was at all like the Corleones, this is no more than the way the Tetarchy worked, as least in its final stages. Right from the beginning, however, when Constantine, inspired by Christianity, finds success in battle, the principle has more to do with the ideology of Sol Invictus, who presides over military victory, than with the particular non-violent teachings of the "Prince of Peace." This might not strike many as very good Christianity, but it also true that Christianity never made pacifists or quietists of Christian rulers. Whether St. Louis or Abraham Lincoln , Christian rulers would always hope, like Joshua, for God's help in war.
Unlike Akhenaton we do have extensive contemporary comment about Constantine, as well as letters and decrees from his own hand. According to Diana Bowder [Who Was Who in the Roman World, Washington Square Press, 1980]:
Hot-tempered and generous, a man of action impatient with theological niceties or outraged by some flagrant example of oppression, superstitious like all his contemporaries but endowed with a grandiose sense of being God's vice-regent on earth, the founder of the Christian Empire is for us a vivid personality... A strong and effective ruler and reformer, he shares with Diocletian the main credit for the very existence of the later Roman Empire, and the long years of stable government in his reign made possible a genuine renaissance of civilian life and the fine arts. [pp.141-142]
Of course, his foundation of Constantinople made possible,
not only the very existence of the later Roman Empire, but the survival of Romania there right through the Middle Ages, until 1453. Various details are noteworthy, such as the introduction of the gold solidus (called in the West the bezant), a coin that became the "dollar of the Middle Ages" and survived undebased from the year 310 until at least 1034 -- 724 years. This compares favorably with the durability of other historical coinage. The British Pound Sterling was fixed at 113 grains of pure gold from 1717 to 1931 -- 214 years. So Constantine's coin beats it in duration by 510 years. Not bad. This is a tribute, of course, not so much to Constantine, but to the conscientiousness of his successors -- and to Constantine himself to the extent that he substantially founded their regime. With Constantine's personality, it seems of a piece with that of his fellow Tetrarchs, and the biggest mistake one could make is to construe it in terms of later theological controversies or with retrospecive ideals, whether Christian or rationalistic.
There is an interesting variation in the pronunciation in English of Constantine's name. British usage tends to render the "i" as the customary long English vowel "i" -- the equivalent of the word "eye" or the first person pronoun "I." We could represent this as the "Constanteyen" Constantine. American usage tends to use the "Continental" version of the vowel "i," i.e. as in French, Spanish, or Italian. We could represent this as the "Constanteen" Constantine. Since in Latin "Constantine" is Constantinus (with all Continental vowels),
Systems of Imperial Names
Maximian
*forms that do not occur
we already have the French device of replacing the Latin case ending with a simple "e" which then becomes silent. While there is obviously no "correct" pronunciation in this respect, it does strike me as affected when Americans use the British pronunciation.
There is something else curious about Constantine's name. It is, as it happens, purely Latin in origin. The verb constô, "to stand firm... remain the same, unaltered," which gives us the English nouns "constant" and "constancy," underlies all the names of the dynasty: Constantius, Constantinus, Constans. The latter is simply the active participle of the verb. However, in Latin Europe, Francia , these names are only very rarely found -- except as variants, like "Constance," for women. In Romania, Russia , and Modern Greece , "Constantine" is quite common. We tend to think of it as a Greek name. To be sure, there were three Kings of Scotland named "Constantine," but this may have been based on the Gaelic element Conn, "chief," as in "Connor."
So why was "Constantine" in such disfavor in the West? Perhaps for the same reason that the Latin Church does not recognize Constantine as a Saint -- it represented a kind of challenge to the Papacy . Until the end of Romania, there were many Emperors still named Constantine in Constantinople (eventually eleven of them, and six Patriarchs of Constantiople -- as well as two Patriarchs named "Constantius"), none of them happy to agree to claims of Papal supremacy and authority. A Latin priest thus might not have favored the name of a child that might remind him of this conflict. There was only one Pope (708-715, and one anti-Pope, 767-768) named "Constantine," well before the age of exaggerated Papal claims.
Constantine's Empire went to his three sons, who might have shared it with their cousins, but killed most of them instead. The sons, however, ended up with no heirs themselves, and the last family member on the throne, Julian, was one of the cousins who had escaped the massacre. Julian, whose own writings have been preserved, is one of the better known but stranger figures of the century. Quixotically trying to restore paganism, he only seemed to demonstrate that the old gods were spent and nobody's heart was really in it anymore. Although apparently a fine enough military commander against the Franks, Julian's short reign ended with another Quixotic effort, against Persia. It was not so much the war itself as the ill conceived scale of the invasion, which left Julian all but stranded with his army, deep in Mesopotamia, with the Persians avoiding battle but constantly harassing him. Somehow this had not happened to Alexander , Trajan , Heraclius , or the forces of the Caliph Omar . It cost Julian his life, and his religious cause, since the Christian Jovian was then chosen by the Army.
3. VALENTIANS
Fl. Eugenius]
392-394 W
Revolt by Arbogast with figurehead Eugenius; restores Altar of Victory to Roman Senate; defeated at Frigidus River, 394
394-395 W
Outlaws taking of auspices from entrails, 384; Closes pagan temples, including the Serapeum, the Temple of Apollo at Delphi, and the Temple of Vesta in Rome, 388-392; removes Altar of Victory from Roman Senate; divides Empire between Honorius & Arcadius
Jovian did not last long (apparently killed by carbon monoxide poisoning from a charcoal heater -- still a danger in the modern world), and the Army chose another Christian. With Valentinian, and his brother Valens with whom he divided the Empire, the Christian nature of Romania was sealed. But the future seemed secure enough. Valentinian was vigorous and competent, even if his brother wasn't so much. Unfortunately, Valentinian died, apparently of a heart attack (or perhaps a cerebral hemorrhage) in a fit of anger over the insolence of some representatives from the Huns. With Valens as the senior Emperor, he didn't wait for assistance before moving to put down a revolt by the Visigoths, who had recently been admitted as refugees from the Huns but were now rising up against mistreatment by their hosts. The resulting battle was close and hard fought but turned into a catastrophic rout, with Valens himself falling. Gratian appointed Theodosius as the new Eastern Emperor to restore the situation (marrying him to his sister), which seems to have about the most useful thing he accomplished, before his murder.
Meanwhile there was a fateful development in the governance of the West. When Valentinian died, Gratian had already been raised to the status of Augustus and clearly was the legitimate Emperor of the West. However, the Frankish Magister Militum Merobaudes raised Gratian's young brother Valentinian (II) to the Purple. There was no particular reason to repudiate this action, except that it was obviously a ploy by Merobaudes to create a puppet Emperor. The success of this coup was a chilling precursor to the eventual Fall of the Western Empire, whose final Emperors became the futile play things of Germanic commanders. Merobaudes confirmed his disloyal intentions at the death of Gratian, when he threw his support to the usurper Magnus Maximus. Theodosius defeated and killed both of them at Aquileia in 388. Valentinian II's own death drew Theodosius west (again) to put down the usurper Eugenius -- who, apparently for the first time now, was merely the hand-picked figurehead of the German Master of Soliders, Arbogast -- another death knell for the Western Empire. At the Frigidus River in 394 Theodosius put his Visigothic allies, faithfully honoring their treaty with the Empire, in the forefront of the battle. The slaughter of the battle, on a scale with Gettysburg, soured the Visigoths on the value of their cooperation. They would soon become a loose cannon within the Empire, shattering essential supports of Roman power as the tribe rolled around.
Thus, things in the West went steadily down hill after Valentinian I, with a troubling weakness of the (Western) Throne in comparison to powerful Germanic soldiers. Although the Battle of Adrianople need not have fundamentally affected the strength of the Empire, it acquires great symbolic meaning in retrospect because of the more permanent damage subsequently done by the Visigoths and the profound weakening of the Empire that attended it. For the genealogy of the Valentinians, see that of the Theodosians below .
It is in the reign of Valentinian II that we find the classic De Re Militari of Flavius Vegetius Renatus, the most important study of military science for many centuries. This is often favorably compared to the Chinese strategist Sun Tzu , but Vegetius provides us with a much more thorough and discursive treatment. Unlike Sun Tzu, however, Vegetius did not have the chance to direct armies himself, much less produce victories commensurate with the wisdom of his advice. Nor does he give us a military historian's analysis of the battles of his era, which would have included the Battle of Adrianople. This is a grave loss to history and military science, especially as it allows false lessons to be drawn from Adrianople (as discussed elsewhere ).
A great earthquake on Crete in 365, which thrust up the coast some 20 feet, has recently become a matter of interest for modern geologists. An account of it by Ammianus Marcellinus includes what may be the first detailed description in history of the phenomenon of a tsunami,
:
...the solid frame of the earth shuddered and trembled, and the sea was moved from its bed and went rolling back. The abyss of the deep was laid open; various types of marine creatures could be seen stuck in the slime, and huge mountains and valleys which had been hidden since the creation in the depths of the waves then, one must suppose, saw the light of the sun for the first time. [Ammianus Marcellinus, The Later Roman Empire, (A.D.354-378), Penguin Classics, 1986, p.333]
Not realizing that the sea would come back, people wandered down to the revealed places. As the water "burst in fury" and surged up onto the land on its return, thousands were killed, towns were leveled, and "the whole face of the earth was changed" [ibid.]. As far away as Alexandria, the tidal wave tossed ships onto the tops of buildings; and Ammianus himself later inspected a decaying ship that had been carried inland ad secundum lapidem, "to the second milestone," near Mothone (or Methone) in the Peloponnesus. Edward Gibbon, contemptuous of the Late Empire and its historian, and apparently never having heard of such phenomena, didn't believe Ammianus:
Such is the bad taste of Ammianus (xxvi.10), that it is not easy to distinguish his facts from his metaphors. Yet he positively affirms that he saw the rotten carcass of a ship, ad secundum lapidem, at Methone, or Modon, in Peloponnesus. [The Decline & Fall of the Roman Empire, Volume I, Modern Library, p.899].
Tsunamis are not so rare, however, that it is not in the living memory of many to have seen the seafloor bared or ships thrown about in just the manner described. In the massive 1883 volcanic eruption of Karakatoa (Krakatoa, Krakatau) in
Indonesia , the Dutch steamship Berouw was lifted by a tsunami from its harbor in Sumatra and swept inland 3.3 km, i.e. two miles (ad secundum lapidem), up the Koeripan River, where it was permanently deposited in the jungle, at an elevation of 30 feet. Tsunamis of spectacular and deadly effect have recently occurred in Indonesia in 2004 and now in Japan in 2011 -- where, with live video from news helicopters, large ships were tossed some distance inland, and the draw down of the ocean was visible and photographed in Hawai'i and California. The response of some people in 2004 was to go out to collect the fish that were flopping around where the sea had left them stranded. The earthquake of 365 also came hard on the heels of a massive earthquake in Galilee in 363, whose effects can still be seen in walls that were thrown down in Petra , which may have been abandoned about this time. Damage from the earthquakes of 363 and 365 would have overlapped in Anatolia and around the eastern Mediterranean. The modern historian might do well to consider how the death and destruction of these great earthquakes may have weakened the resources of the area on the crucial eve of the struggle with the Visigoths.
Rome and Romania Index
B. CRISIS OF THE FIFTH CENTURY, 379-476, 97 Years
The map shows the key incursions that would fatally undermine the Western Empire. After the death of Theodosius I, and the division of the Empire (for the last time) between
Honorius in Milan (and then Ravenna, 402) and Arcadius in Constantinople, the Visigoths begin to roll around in the Balkans. The movement of the Visigoths began to resemble the literal effects of a "lose cannon" to destroy the structure of the Roman Empire, revealing the fatal failure of Theodosius to destroy, rather than temporary coöpt, the tribe. In the course of dealing with this, Stilicho evidently stripped the Rhine frontier of troops. When the Suevi, Alans, and Vandals crossed the frozen Rhine on New Year's Eve of 407, nothing stood in their way when they looted their way across Gaul and Spain. As they settled down in Spain, the Visigoths arrived in Italy. Later in 407, the usurper Constantine took his troops out of Britain, simultaneously to secure Gaul and to establish himself as Emperor. When Stilicho is murdered, his forces, largely German, disintegrate. Honorius, secure in Ravenna -- as Rome, after a fashion, burned -- was able to do nothing about the Visigoths or the other invaders, and he had to tell the British (410) they were on their own. Britain substantially drops out of history for a while.
1. THEODOSIANS, WEST
[Petronius Maximus]
455 W
Vandals invade Africa, 428, take Hippo, 430, repulsed from Carthage, 435; Suevi defeat Andevotus, Count of Spain, at the Jenil River, 438, take M�rida, 439, Seville, 441; Vandals take Carthage, 439; Visigoths provide troops for expedition against Vandals, and fleet of 1100 cargo & troop ships arrives from Constantinople in Sicily, but expedition cancelled, 441; Council IV, Chalcedon, Monophysitism condemned, 451; Attila the Hun halted at Châlons, 451; Aëtius stabbed to death by Valentinian, 454; Valentinian assassinated, Petronius elevated and killed, Rome sacked by Vandals, 455
Theodosius may have been called "Great" mainly for establishing Athanasian Orthodoxy and for actions against paganism like closing and sometimes destroying temples and ending the Olympic Games (which, however, seem to have continued in some form for another century). Otherwise, he did get the Goths under some kind of control and left the Empire, to all appearances, sound and prepared for the future.
Unfortunately, there were two very serious problems. One was that the Goths remained a unified and aggressive tribe within the Empire, ready to begin rampaging again at any time. Another was that Honorius and Arcadius, the two sons between whom Theodosius divided the Empire, were young and inexperienced. Leaving the Army in the hands of the German Magister Militum Stilicho set the stage for all the evils of divided authority and palace intrigue. The result of this would be disaster. When the times called for a strong soldier Emperor, there wasn't one -- and there would not be one for some time, perhaps not until Heraclius .
Feeling exposed to the Goths at Milan, Honorius moved his Court to Ravenna in 402. This was a fateful step. It made Ravenna the administrative capital of Italy for the rest of the history of the Western Empire, for the Kingdom of the Ostrogoths , and for the history of the "Byzantine" Exarchate in Italy, until its fall to the Lombards in 751. Ravenna was thus the capital of Italy for 349 years. This is usually overlooked in the tendentious narrative of the "Fall of Rome," as is the glorious art and architecture placed there, anomalously during what is represented as the "Dark Ages." The form of the Exarchate, with a corridor from Rome to Ravenna, subsequently became the Papal States , from 754 until 1870 -- 1116 years.
Ravenna thus possesses a important place in general history and art history that is rarely addressed in popular or general academic culture. Despite the role of Ravenna, several of the last Western Emperors, with their political horizon reduced to Italy, did spend significant time at Rome. Valentinian III seems to have been there for eight years, about a quarter of his reign, including its last five years. Petronius Maximus (455) spent his whole, brief reign in Rome; and Anthemius (467-472) was killed there. Some scholars think this means that too much emphasis has been placed on Ravenna; but considering how little awareness there is of the city, its monuments, and its history, certainly in popular culture and in scholarship outside the specialty of Late Antiquity, it is hardly possible to say that anything sensible is served by deliberately placing less emphasis on it.
Unfortunately, the military strength of Ravenna's position allowed Honorius to view the course of the Goths in Italy, and their siege of Rome, with some complacency. On the other hand, the time spent by Valentinian III at Rome, especially in his last years, may reflect growing concern at the threat from the Vandals . Since the government had originally been drawn to the North of Italy because of the threat to the frontiers, it is not surprising that attention would be pulled back to Rome because of a threat from Carthage. If this was Valentianian's thinking, it was a good idea but ended up collapsing in chaos. Valentianian killed Aëtius, was himself assassinated, and then his ephemeral successor, Petronius Maximus, was killed while fleeing the City, leaving the Vandals unopposed. Having botched the defense of Rome, the government of Avitus , drawing on the power of the Visigoths, returned to Ravenna and the North.
Some uncertainty remains about exactly when Honorius moved to Ravenna. Deborah Mauskopf Deliyannis says:
At the time of the Visigothic invasion of Italy of 402, Honorius and his advisors seem to have felt that Milan was too hard to defend, and so the emperor moved to Ravenna; the first imperial decree to have been issued at Ravenna is dated December 6, 402. The year 402 appears in almost every modern account as a pivotal date in Ravenna's history, even though no contemporary authors mention such a transfer in that year. [Ravenna in Late Antiquity, Cambridge, 2010, p.46]
In a footnote, Deliyannis cites Zosimus (d.circa 501), who "mentions Honorius's change of residence to Ravenna as happening in 408" [note 12, p.320]. However, although she leaves the impression that the date of 402 is based on the imperial edict (from the Theodosian Code), the Chronicle of Theophanes positively asserts that Honorious "moved to Ravenna, a coastal city in Italy" in the Annô Mundi year 5895, i.e. 402/403 AD [The Chronicle of Theophanes Confessor, Byzantine and Near Eastern History AD 284-813, Translated with Introduction and Commentary by Cyril Mango and Roger Scott with the assistance of Geoffrey Greatrex, Clarendon Press, Oxford, 1997, 2006, p.117]. We do not know, of course, the basis of the assertion of Theophanes, writing in the 9th century. It may have been in the very same imperial edict, or in historical sources now lost. Nevertheless, the date of the edict is not consistent with the (perhaps corrupt) date from Zosimus.
Archbishops of Ravenna
With the Goths running wild, and an alliance of German tribes crossing the frozen Rhine on New Year's Eve of 407, the institutions were not prepared to bounce back the way Rome had in the 3rd Century. The center of Roman resistance was the commander Stilicho, who had been entrusted with his office by Theodosius. But neither the Eastern Court nor Honorius liked the authority possessed by Stilicho. The result was, after being the only leader to resist the Germans, Stilicho was tried and executed. As earlier with the rebellion of the Visigoths, the Romans turned on the Germans in the Army; but the purge did not strengthen the Army, as later it would in the East under Leo. Instead, the surviving Germans decamped to the Visigoths; and, unlike with the Isaurians under Leo, there was no one to replace them. Honorius never contested any action of the Goths, who only left Italy when they ran out of steam.
As with Stilicho, a similar characteristic moment came when the commander Aëtius, sometimes called "the Last Roman," who had defeated the Huns at Châlons-sur-Marne (Campus Mauriacus or the Catalaunian Plains, with substantial help from the Visigoths , whose King Theodoric I was killed), was murdered by the incompetent and jealous Emperor Valentinian III, with his own hand. Very personal. Valentinian's own murder, as the Vandals symbolically arrived to plunder Rome, then left the throne completely at the mercy of the next person to get control of the Army -- who would be the German Ricimer. Ricimer could not himself, as a German, become Emperor, so he could only retain power by keeping the Emperors as figureheads, or killing them. This was not a formula for retrieving the situation. The Theodosian dynasty thus ends in the West with a combination of triumph, betrayal, and chaos.
One of the most interesting people in the diagram is the Empress Galla Placidia, the daughter of Theodosius I, wife of Athaulf, King of the Visigoths, wife of Constantius III, and mother of Valentinian III. According to J.B. Bury, she was buried at her own mausoleum in Ravenna, where "her embalmed body in Imperial robes seated on a chair of cypress wood could be seen through a hole in the back [of her sarcophagus] till A.D. 1577, when all the contents of the tomb were accidentally burned thourgh the carelessness of children" [History of the Later Roman Empire Vol. 1, Dover, 1958, pp. 263-264]. It seems that said children, holding a candle within the observation hole to look in, dropped it. It is remarkable that something of the sort had not happened earlier (as Howard Carter was lucky in 1922 that he did not drop the candle he held up, in the last days before electric flashlights, to first look into Tutankhamon's Tomb ). The idea of an observation port into a tomb may seem strange, but there is even such a feature in the tomb of Sir Richard Burton and his wife.
Although the mausoleum and its decorations remain in excellent condition, some now question whether the Empress or any other Theodosians had ever been buried there. Deborah Mauskopf Deliyannis says, "When Galla Placidia died in Rome, she was probably [?!] buried in the imperial mausoleum at St. Peter's"; but she only cites a secondary source for this -- and I am otherwise unaware that there was an imperial mausoleum at St. Peter's. She does conclude that the sarcophagi in the "Mausoleum of Galla Placida" (always given in quotes) were indeed fifth century products contemporary with the building, and were intended for Theodosian burials by Placida herself. Exactly who was buried there, however, was a matter of later tradition and legend [op.cit. p.82]. Deliyannis, however, does not even discuss Bury's assertions:
Into this charming chapel Placidia removed the remains of her brother Honorius and her husband Constantius, and it was her own resting place. The marble sarcophagus of Honorius is on the right, that of Constantius, in which the body of Valentinian III. was afterwards laid, on the left. [Bury, op.cit. p.263]
Bury, unfortunately, also only cites secondary sources, while Deliyannis denies that there is any contemporary information about the burials, providing various versions of traditional assignments [cf. note 247, p.334]. We are thus left with more questions than answers in this matter. There is a certain logic, however, that Placida would be buried in the mausoleum that she arguably built herself.
Mosaics in the mausoleum already show the books of the Bible bound in codices (sing. codex), i.e. familiar bound books rather than scrolls. Scrolls continued to be current for some time -- mosaics at Ravenna include figures standing side by side where one holds a scroll, the other a codex -- and it is probably difficult for people to think of "Romans" using books rather than scrolls; but this is not the only case where general perceptions fail to keep up with the changing times of Late Antiquity.
Equally influential in the East was Empress St. Pulcheria Augusta,
, sister of Theodosius II and (apparently celibate) wife of Marcian. She is supposed to have requested the transfer of the Hodêgêtria Icon from Jerusalem, although it is otherwise said to have actually been fetched by her sister-in-law, St. Aelia (Athenais) Eudocia Augusta, with whom here was some rivalry and inversely varying fortunes of political influence. Pulcheria was instrumental in the calling and conduct of both the Third Ecumenical Council at Ephesus (431), which condemned Nestorianism, and the Fourth at Chalcedon (451), which condemned Monophysitism. Her influence on subsequent Christian theology, and the problem of Schisms in the Church, was therefore immense. In conflict with the Patriarch Nestorius , soon to be exiled, she claimed the right to enter of the Holy of Holies of (the old) Sancta Sophia Church.
This era of miserable collapse nevertheless contained instances of formidable intellectual development and important figures in the history of philosophy . St. Augustine of Hippo (395-430), whose name still evokes strong reactions even in our own day, and who died as the Vandals were besieging Hippo, still stands as the most prolific author in the Latin language, with 93 surviving works to his credit, not counting numerous sermons and letters. This is a positive embarrassment for Classicists, who are usually not very interested in Latin literature after 100 AD and who would rather think that the writing from Augustine's era was all by half-literate, ignorant, and bigoted Patristic Fathers writing in Vulgar Latin. Unfortunately for this conceit, Augustine himself, inspired by Cicero, was a student of Classical Latin rhetoric and taught it at Carthage, Rome, and Milan (the Capital, remember) before he ever thought of converting to Christianity. The study of Latin without the study of Augustine involves a certain self-imposed blindness.
As with Constantine, there are curious alternatives in the pronunciation of Augustine's name. By analogy with Constantine, we might expect the alternatives "Augusteyen" and "Augusteen." I have never hear the former ever used. The later is the vulgar pronunciation, especially as used for the city of St. Augustine, Florida. Scholars, on the other hand, in both history and philosophy, seem to prefer "Augústin," with a short "i" and the accent on the second syllable, contrasting with the first syllable for "Aúgusteen." I find this perplexing, since the short "i" violates the ordinary rules of spelling in both British and American English, where a final "e" almost always indicates that the preceding vowel is long. If this is an affectation, I do not know how or when it got started.
Meanwhile, another North African author, far less accomplished as a writer, nevertheless made an epochal contribution to the character of education in the Middle Ages. This was the obscure Martianus Capella. Capella, a pagan and apparently a practicing lawyer at Carthage, seems to have died before the Vandal invasion. His seminal contribution to learning, The Marriage of Philology and Mercury, created the system of the Seven Liberal Arts: the trivium (hence "trival"), of grammar, rhetoric, and logic, and the quadrivium, of arithmetic, geometry, astronomy, and music. Capella even included a system of astronomy in which Mercury and Venus orbited the sun. This later caught the attention of Copernicus . Capella was popularized by Cassiodorus and hence made his way into subsequent education, such as with Isidore of Seville -- who, like Capella, is often called an "Enyclopedist." Capella, however, may not have been entirely original. In the East, where versions of the Liberal Arts were also taught in Greek education, the tradition was that a similar list went back to the Sophist Hippias of Elis. The idea of the Liberal Arts has now rather shrunk, and instead of including things like logic, mathematics, and astronomy, one might often think, given current academic practice, that only rhetoric remains (with grammar itself rejected as "elitist"). So one is left with the question, "Which attitudes sound more like the ignorance of the Dark Ages?"
Diocletian had begun creating a very different kind of Army in the Late Empire. The old Legions actually still exist, but they largely have been settled on the land as fixed frontier forces, the Limitanei, and the old legionary establishment has been reduced to 1000 men, with the number of legions accordingly multiplied -- for instance, only one legion had previously been stationed in Egypt, the Legio II Traiana, but there are eight by the time of the Notitia Dignitatum (II Traiana, III Diocletiana, V Macedonica, XIII Gemina, II Flavia Constantia, I Maximiana, I Valentiniana, & II Valentiniana, though this is not always the full legion). The frontier units are not shown on the map above, but their regional commanders are, the "Dukes" -- dux, "leader" (pl. duces). This is a title that will have a long history in the Middle Ages. The units that are shown on the map above are parts of the new Mobile Army, the Comitatenses, which were originally commanded by the Augusti and Caesares of the Tetrarchy -- hence, they "attend" or "accompany," comitor, the Emperors, as their "train, retinue," or "following," comitatus. An individual "companion" of an Emperor is a comes (pl. comites), or "Count," another title with a long history in the Middle Ages. In origin, however, a Count has a higher station than a Duke, the opposite of what we see much later. The sixth-century historian Agathias says that at one time the Army had a full strength of 645,000 men. This accords well with the data of the Notitia Dignitatum, which gives the whole establishment of the Army, apparently for the East in 395 AD and for the West circa 408 AD. Diocletian and Constantine, both accused of massively expanding the Army, thus produced a total force roughly twice as large as the Army of the Principate.
There is no doubt that this was needed for the challenges of the Age -- indeed, it would prove inadequate to concentrate what would in fact be needed against the Visigoths and the other migrating German tribes.
In the map at right we see the Limitanei and the Comitatenses for the Western Army. It is noteworthy that some differences have developed between the organization of the Western and the Eastern Armies. In the West, the regional commanders of the Mobile Army are Counts. Britain features both a Duke of Britain, on the frontier, and a Count of Britain, with a unit of the Mobile Army. The Count of Illyricum is in the Western Mobile Army, but the Master of Soliders of Illyricum is in the Eastern. In the Western Army, above the Counts are the units commanded by the "Master of Soldiers," Magister Militum (or "Master of Foot," Magister Peditum), and the "Master of Horse," Magister Equitum, of Gaul. These are the commanders-in-chief of the Western Army (distiguished by purple color), with the Master of Soldiers becoming the effective "Generalissimo" of the Western Empire.
In the map at right for the East, we see the Limitanei and the Comitatenses for the Eastern Army. The units of the Eastern Mobile Army all are commanded by their own Master of Soldiers, with two units as "Soldiers of the Emperor's Presence." Since there are two of those, one might think there is one each for East and West. However, they apparently operated together and were part of the Eastern Army. Thus, the unity of the Eastern Army was focused more directly on the Emperor himself, which may have helped the Eastern Empire avoid the situation in the West where the Emperors became mere figureheads. It is noteworthy that the Counts in the East, of Isauria and Egypt, are both in areas behind the actual frontiers. The Count of Egypt commands an army that from its size could easily have belonged to the Comitatenses. The Count of Isauria commands in an area known for rebellion. He has such a small force, however (Legio II Isaura & Legio III Isaura -- Legio I Isaura Sagittaria was with the Mobile Army of the East), the rebellions cannot have been too serious. Perhaps the problem was more like banditry. Nevertheless, this is where Leo I would draw recruits, including his future son-in-law and Emperor Zeno, to replace the Germans in the Eastern Army.
In the Notitia Dignitatum the Western Comitatenses have a slight numerical superiority over the Eastern, yet it was the Western Army that seems to evaporate after 407, especially in Gaul, which on paper was the greatest strength of any formation in the whole Army. Unfortunately, the Mobile Army as often was used for civil wars as for backing up the frontiers, and it was natural for Emperors to neglect the Limitanei and reinforce their own personal forces. This did not work out well, especially when the Western Army became the personal force, not of the Emperors, but of a Magister Militum who soon was usually a German, like Stilicho or Ricimer. Gradually, the Limitanei fade from historical view and hardly seem to exist at all by the time German tribes cross the borders en masse in the Fifth Century.
Legions of the Roman Army
On the map, the Visigoths have actually become allies of the Romans. In return for cleaning (most of) the Germans out of Spain, they are legally settled in Aquitaine. Two German tribes, however, are left unmolested. The Suevi establish themselves, for centuries, in Galicia, and the Asding Vandals cross over into Africa. Of all the blows the Roman power, the latter would prove to be one of the worst. Rome could no longer draw grain from North Africa. Much worse, the crafty Vandal King Gaiseric ("King Caesar") built a fleet after securing Carthage in 439. He then did what the Carthaginians so many centuries earlier had not been able to do: secure control of the seas. In 455 they did what Hannibal could only have dreamed of, arriving at Rome by sea, breaking into and looting the city, and carrying the booty back to Carthage. Meanwhile, around the same year, Hengest the Jute, followed by Angles and Saxons , founded the Kingdom of Kent .
It is noteworthy that the Venerable Bede (Venerabilis Baeda, 673-735) numbered Theodosius II as the 45th and Marcian as the 46th Emperors since Augustus. This is considerably less than the count we might make now and it interestingly implies that Bede is using a tradition of a numbered list from which many ephemeral Emperors were excluded [ note ].
After Roman Britain disappeared from history, when the usurper Constantine "III" took his troops to Gaul, Bede's History of the English Church and People is just about the first that we then hear of it, three hundred years later, with one exception: St. Gildas "the Wise," whose De Excitio et Conquestu Britanniae, "The Ruin and Conquest of Britain," is the only contemporary account of the Gemanic invasion of Britain. Since Gildas was one of the Britons who fled to Brittany , he may be more an illustration, rather than an exception, to the loss of literacy in Britain.
Gildas provides some key information, which we find repeated, sometimes word for word. in Bede. He says that Ambrosius Aurelius rallied the Britons against the Saxons. And the Saxons were stopped for a while, gaining a period of peace, after a defeat at Badon Hill, Badonicus Mons. Gildas says this was the year he was born, 44 years after the landing of the Saxons. Now, the first Germans to settle in Britain were the Jutes led by Hengest, in about 455. The Saxons came a little later, with Aelle & Cissa in 491. So if Gildas means Hengest, this puts Badon Hill in 499; but if he really means the Saxons, it would be more like 535. With various dates proposed for Badon Hill between 493 and 518, the 499 date looks more likely. With Gildas living until 570, it was just a century before the birth of Bede in 673.
What events filled that time, and the vague years between 410, when Honorius told the Britons they were on their own, and Gildas, became strongly mythologized, especially around the figure of King Arthur. The first Life of Gildas was written in the 9th century, even later than Bede. Neither source mentions a King Arthur. We still just have Ambrosius Aurelius, whom Bede says won the battle of Badon Hill, altough Gildas actually does not say so. The Life does says, interestingly, that Gildas was born in the Kingdom of Strathclyde to the royal family, a son of King Caunus. This does not clearly match any name I have for Strathclyde, although "Cinuit" is close, in the right time frame. But the brother of Gildas, "Cuillum," the next King, doesn't match at all. Gildas is even supposed to have sojourned in Ireland , working for the High King Ainmere macSátnai O'Néill (566-569), before going to Rome, Ravenna, and back to Brittany.
The next Life of Gildas is in the 12th century; and now Ambrosius Aurelius is replaced by King Arthur, with elements filled in from the rest of Arthurian legend. Where this all comes from is what piques our interest. I suspect that the vividness of the Arthur stories, like that of the Greek epics and of the Mahâbhârata in India, is an artifact of a literate society that for a time lost its literacy but remembered, after a fashion, what it was like. The literature on the problem of Arthur and Britain in this period is vast. Two of the more interesting recent books might be The Discovery of King Arthur by Geoffrey Ashe [Guild Publishing, London, 1985] and From Scythia to Camelot, A Radical Reassessment of the Legends of King Arthur, the Knights of the Round Table, and the Holy Grail by C. Scott Littleton and Linda A. Malcor [Garland Publshing, Inc, New York, 1994, 2000].
Littleton and Malcor made the significant discovery that the scene of Arthur's death in Mallory's Morte d'Arthur, where the sword Excalibur was thrown into a lake, occurs in almost identical terms in the legends of the Ossetians in the Caucasus -- the epic literature of the Ossetians had come in for particular study by the great historian of religion , Georges Dumézil (1898-1986). There is a possible connection, since the Ossetians are descendants of the Alans , and Marcus Aurelius had settled a tribe of Sarmatians, the Iazyges, cousins of the Alans, whom he had defeated in 175 and taken into Roman service, in the north of Britain, where many of them ended up at the evocatively named Bremetenacum Veteranorum, south of Lancaster.
The Prefect of the legion to which the Iazyges were assigned, the Legio VI Victrix, was one Lucius Artorius Castus. "Artorius" looks like the Latin source of the name "Arthur." Littleton (who taught at Occidental College and, sadly, passed away in 2010) told me personally that we know about the career of Castus from funeral stelae about him that were discovered in Dalmatia. This intially gave me the impression that the stelae were a recent discovery. However, Littleton and Malcor's book cites them from the Corpus Inscriptionum Latinarum, of 1873 [CIL: Inscriptiones Asiae Provinciarum Europae Graecarum Illyrici Latinae, Theodor Mommsen, #1919, Vol. 3, Part I: 303; Vol 3, Supplement: 2131, Reimer, Berlin]. A curious thing about this information is that a new book, The Complete Roman Legions, by Nigel Pollard and Joanne Berry [Thames & Hudson, 2012], which has detailed treatments of individual legions , lists known officers for some of them, and mentions one officer of Legio VI Victrix --the military tribune Marcus Pontius Laelianus -- nevertheless does not mention Castus in the same connection. Yet Pollard and Berry's reference for their knowledge of Laelianus is a funeral stela at Rome listed in the very same Corpus Inscriptionum Latinarum [p.94]! So either they have overlooked the inscriptions about Castus or, for some reason that they do not discuss, they have discounted their validity. Littleton and Malcon mention no disputes of that nature.
So the vivid theory of Litteton and Malcor is that the legends of the Alans, brought by the Iazyges, are perpetuated by their descendants in the North of Roman Britain, folding in with their memory and reverence for their original Legionary commander, Lucius Artorius Castus, and eventually confused with the historical recollection of Ambrosius Aurelius and the Battle of Bandon Hill. For all we know, descendants of the Iazyges may have fought at Badon Hill. This all makes a nice picture; but there is nothing certain about the speculations and disputes over the Arthurian stories except that they will be endless [ note ].
2. LAST WESTERN EMPERORS [names in brackets not recognized by East]
WESTERN COMMANDERS Magistri Militum
476-493
deposes Orestes & Augustulus, 476; Nepos killed, 480; defeated, besieged, & killed by Theodoric , 489-493
The last twenty years of the Western Empire are mainly the story of the commander Ricimer. The last Western Emperor really worthy of the name was probably Majorian, who was a military man in his own right and operated with success in Gaul and Spain. The naval expedition he organized against the Vandals in 461 (one of some four attempts to put down the Vandals in this era) failed when Gaiseric, apparently with good intelligence, destroyed the Roman fleet in its ports in Spain. Majorian was murdered by Ricimer on returning to Italy.
Henceforth, the Emperors were mainly puppets and operations were confined to Italy or the area of Arles in southern Gaul. More than the coup of Odoacer in 476, this signaled a real institutional change in the Western Empire. The German Ricimer would now hold the real power, with little better than figurehead Emperors. With Ricimer either unconcerned or distracted, the rest of the Western Empire fell by default to the Vandals, Visigoths, and Burgundians. A detached Roman pocket, intially under a commander, Aegidius, appointed by Majorian, remained in the north of Gaul until the Frankish King Clovis subjugated it in 486. Britain had been abandoned to illiterate mythology. Ricimer was once perusaded to accept an Emperor from the East, Anthemius, and to participate in another assault on the Vandals; but this was a disaster, and he ended his "reign" with another figurehead on the throne.
Gundobad, a nephew of Ricimer, the killer of Anthemius, and shortly to be King of Burgundy (where he would outlive most of his contemporaries), succeeded Ricimer and briefly had his own figurehead on the throne. This was the Count Glycerius. Gundobad acquiesced in the installation of a new nominee of the Eastern Emperor -- Julius Nepos -- and decamped to Burgundy.
As with the previous Eastern nominee, it is obvious that such Emperors only would have been effective if they had brought their own army. The first commander of Nepos, Ecdicius, was a son of the former Emperor Avitus. Ecdicius, however, was soon followed by a new commander, Orestes. There was now some difficulty, however, with the German troops of the Empire accepting a non-German commander. This problem reached a head when, rather than working together to get things organized again, Nepos was chased out to Dalmatia by Orestes, who assumed command and then put his own son, a child -- Romulus the "little Augustus" -- on the throne. The German troops wanted to be settled on the land in Italy, which Orestes resisted. So in 476, Orestes was killed and his son then deposed by the German Odoacer (who originally had been in the guard of Anthemius), who decided to do without a figurehead Emperor.
This was the rather anticlimactic "Fall of Rome." Odoacer even returned the Western Regalia to Constantinople. Nepos, meanwhile, was still in Dalmatia. Odoacer was rid of him by 480, reportedly (in the historian Malchus) with the help of no less than Glycerius, who on his deposition had been appointed Bishop of Salonae -- hard by Nepos in Spalatum. Since Odoacer, de jure, was a faithful officer of the Emperor in Constantinople, one could say that the last institutional existence of the Western Empire surived until Odoacer was overthrown by the Ostrogoths in 493. The real difference, however, had come in 456, when Ricimer gained control of the army. His long tenure structurally prepared the way for the demise of the Western Empire.
The pathetic and ephemeral "Little Augustus" Romulus, who wasn't even remembered as a Roman Emperor by later Mediaeval historians, such as the Venerable Bede , is now often dignified, with great portent and drama, as the "Last Emperor" (this would be
in Chinese, where it could be used postumously for the last Emperor of a Dynasty, most notably the Ch'ing Dynasty). This is what we may get from writers who scrupulously, albeit fallaciously, remind us that the later Empire, when they are not calling it the "Byzantine Empire," was merely the "Eastern Roman Empire." They often forget the "Western" when talking about Augustulus as Emperor. The narrative is clearly that the Eastern Empire wasn't really Roman because to be "Roman" you need Rome, and Rome was in the West. That Augustulus never "ruled" from Rome, but from Ravenna, may then be forgotten as well. It would confuse the picture. The Last Roman Emperor must have been clinging to the Eternal City like a shipwrecked sailor to a raft. The best that can be said for this approach is that it is ahistorical, since for judgments about the Empire and Roman-ness at the time, the City was irrelevant. And, as we see from the cases of Anthemius and Nepos, the Eastern Emperor always retained some authority over who would be his Western colleague. The lapse of the Western Throne simply meant that authority over the Western Empire, however reduced or tenuous its existence, reverted entirely to Constantinople. The division of the Empire, which had never been more than a device and a convenience, despite the very different circumstances and institutional histories and fates of the two halves, lapsed and was completely forgotten -- until revived by Modern historians, who now don't understand what these f***ing Greeks were doing calling themselves "Romans." I fear that that is often about the level of their treatment.
In 2007, we have a movie, The Last Legion, that is about Romulus Augustulus, Odoacer, et al. This is an extensively fictionalized and even silly version of events, where Romulus Augustulus flees to Britain and becomes, well, King Arthur -- with Ben Kingsley as some sort of Merlin. Since the project is clearly a fantasy, it does not merit much notice, except for the points that would give people the wrong idea about the era. The worst part of the story may be that it has it that Odoacer was a (filthy, wild) Goth attacking Rome (a former ally rather like Alaric). Odoacer was not a Goth, but from a lesser German tribe, the Sciri, and he was not attacking Rome, but simply a member of the (barbarized) Roman army. Odoacer in fact was eventually deposed (from Ravenna, of course) by Goths, the Ostrogoths under Theodoric. The distortion is certainly made to preserve the image of Rome (the City) being conquered by barbarian hordes. At the same time, we get the notion that Romulus Augustulus is somehow the descendant or heir of Julius Caesar. There is no evidence of this, Caesar himself had no descendants, and the other heirs were pretty much wiped out by 69 AD (though the movie actually says that the unrelated Tiberius was the last of the ruling Caesars!). The Eastern Empire does come in for mention in the movie, but only so that it can absurdly contribute a female warrior, played by an actress from India, to the defense of Rome. Hollywood (or, in this case, the Euro Italian-French-British co-producers) should save this stuff for the coming remake of Conan the Barbarian.
Little is known about the Roman pocket in the north of Gaul . We hear about Aegidius, the magister militum per Gallias, apparently appointed by Majorian. In the Notitia Dignitatum, the commander of Roman forces in Gaul was the magister equitum, Master of Horses instead of Soldiers. Ordinarily, the Master of Horses would be a title inferior to Master of Soldiers. The title of the Master of Horse of Gaul, however, may mean that he was second in command for entire Western Army, a serious position indeed. Since the strength of the forces in Gaul was some 32,500 men, this reinforces that interpretation -- although we then wonder why such a force seems to have been so ineffective when the Alans, Vandals, and Suevi invaded on New Year's Day of 407. Bury speculates that Aegidius held both titles [J.B. Bury, History of the Later Roman Empire, Volume I, Dover Publications, 1958, p.333]. Aegidius did not accept the fall of Majorian or recognize Libius Severus, but he was preoccupied fighting the Visigoths until his death in 464. He was followed by someone we only know as the Count (comes) Paul. "Count" ("companion" of the Emperor) is actually a high title, but Bury supposes he must have also held the "Master" titles also. Ricimer appointed his own magister militum for Gaul, Gundioc, the King of Burgundy (434-473). Both Aegidius and Paul had the help of the Franks , who remained loyal Roman allies, against the Visigoths and Burgundians. That changed when a new Frankish King, Clovis (Chlodwig), succeeded his father in 481. Meanwhile, Paul had been followed by the son of Aegidius, Syagrius.
The Franks actually called him rex Romanorum, a good indication that his realm and authority were seen as quite independent -- indeed, there was no longer a Western Emperor at that point. It is not known what Syagrius called himself. Clovis defeated him at Soissons in 486. Syagrius fled to the Visigoths, who returned him for execution by Clovis. This was the end of Roman Gaul, 546 years after Caesar had completed its conquest in 56 BC -- or perhaps 531 years since the defeat and capture of the rebel Vercingetorix in 52 BC (to be kept and later executed as part of Caesar's own Triumph). We see Vercingetorix surrendering in the 1899 painting by Lionel-Noël Royer above. Now the dominance of the Franks would begin, and in time Gaul would take their name .
C. THE EAST ALONE, 476-518, 42 Years
1. LEONINES
reforms coinage , 498
Leo I purged the Eastern Army of Germans and so turned the East away from the process of barbarization that
had rendered the Western Army useless. A last chance to recoup things for the whole Empire came in 468, after Leo had gotten Ricimer to accept the Theodosian relative Anthemius as Western Emperor. A joint amphibious campaign was put together to recover Africa from the Vandals. This should have succeeded, but it failed through a combination of incompetence, treachery, and bad luck. Ricimer may not have really wanted it to succeed, and it wasn't long before he got rid of Anthemius. After Odoacer decided not to bother with a Western Emperor, Leo's Isaurian son-in-law, Zeno, found himself as the first Emperor of a "united" Empire since Theodosius I, but little was left of the West. Only Odoacer in Italy vaguely acknowledged the Emperor's suzerainty -- we don't know what allegiance to Constantinople, if any, remained in the Roman pocket in northern Gaul. Nothing was done about this at the time, and Anastasius, by temperament or by wisdom, concentrated on allowing the East to rest and build up its strength. Part of that involved reforming the coinage , which is one of the benchmarks for the beginning of "Byzantine" history. The economies of Anastasius left the treasury full (to the delight of Justinian); but taxes, of course, are not always popular. In 512 rioters called for
, állon basiléa têi Rhômaníai, "another emperor for Romania!" Anatasius rode this out; and its principal interest for us may be the use of word
, which is thus attested in popular language at the time. This is only important because of the practice of Byzantinists to ignore the word .
On the map we see the classic form of the German successor Kingdoms of the Western Empire. By 493 Theodoric the Ostrogoth, invited by the Emperor Anastasius, had taken out Odoacer in Italy. This was just in time to save the Visigoths, who were defeated by the Franks in 507 and pushed out of Gaul. The result has the look of a nice balance of power, but there is no telling how long that might have lasted. What upset things was not any internal development, but a most unexpected revival and return of Roman power. In the beloved story of the "Fall" of Rome, this sequel is usually what gets overlooked.
Also noteworthy as a benchmark for the beginning of "Byzantine" history in the time of the Leonines is the apparent disappearance of the traditional Roman tria nomina , the three names of praenômen, nômen, and cognômen, which have been given with previous Emperors. The last Emperor with three full names may have been Majorian, Julius Valerius Majorianus. In general, the Valentian and Theodosian Emperors only had two names, e.g. Valens, Fl. Valens, and Theodosius I & II, both Fl. Theodosius. From Marcian onward there is no evidence of any traditional Roman nomenclature, apart from the perfunctory addition of "Flavius" to many names -- and occasonally, we get a blast, as with Justinian , of multiple names. Amazing how well the Flavian gens survives over the centuries! Why is this happening? Well, even though it had been some time since the nômen had lost its connection to the actual ancestral gens (the clan), and all the names were becoming like titles, the system of the tria nomina still bore an essential connection to the Roman family cult of ancestor worship. No Confucian venerated ancestors in a household shrine more devoutly than the pious Roman. But this could not survive with the adoption of Christianity. A Christian receives a single Christian name. Indeed, it is a while before we get names, like Michael or John, that look more Christian than Roman and Greek, like Jovian, Leo, or Heraclius (still commemorating Heracles -- and so Hera); but the trend is obvious. Indeed, the names beginning with the Valentians aleady look like the pro forma addition of "Flavius" to the single basic name of the Emperors -- even of Aëtius, "Flavius Aëtius." Eventually we get the return of surnames, at first for nobility. The first Dynasty with a family name will be the Ducases in the 11th century. It took a few more centuries before surnames became common among European Christians of all classes.
Another momentous transition is in architecture. The lovely temples of Classical antiquity, like jewels in the landscape, disappear. Christian churches of the period often look like piles of bowls or dark fruitcakes. Or we simply get the basilica, a Roman courthouse. Churches often are not even visible from a distance, because they may be packed around with other buildings. Why is this happening? Were Christians just anaesthetic ? No. The aesthetic was certainly changing, but the most important difference was just the difference in purpose between a temple and a church. A temple was the house of a god, with little space inside but for the god and a few priests. It was not supposed to contain a body of worshipers. The public side of the temple was the exterior, the visible sign of the god's presence. With a church, however, the purpose was not to house God, whose presence was ineffable, but to house the congregation, the ekklêsía, the "assembly" that gave its name in many modern languages for "church" (which itself seems to be from kyriakos, "of the Lord"). The public side of a church is thus the interior, not the exterior, and the outwardly ugliest early churches often contain marvelous inner spaces, with rich decoration. These quickly become awesome spaces, as in Sancta Sophia, for centuries the greatest church of Christendom. Roman domes could do what most Roman temples did not try to do. As it happens there was a precedent for this. Hadrian's
Pantheon in Rome is undistinguished and unremarkable from the outside yet contains a wonderful interior under the largest dome of pre-modern engineering. The dome of
Sancta Sophia is smaller but used more dramatically. The Pantheon is essentially one large, really nice room. Sancta Sophia holds a vast space -- the 184 foot rise of the dome on its piers can easily contain the 151 foot Statue of Liberty.
Eventually, a form of church evolved that transformed the basilica into a building with a monumental external face and a monumental internal space. These would be the Romanesque and Gothic cathedrals, but it would be centuries before the technology could handle the spidery supports, of walls pierced with windows and held by buttresses, that both size and relatively lightness required. Then the basilica and the dome would be combined, to produce in the Renaissance the new largest church in Christendom, St. Peter's in Rome. But this would happen as culturally Francia surpassed Romania. The instructive comparison is with the practice in Islâm, where the purpose of a mosque was similar to that of a church. This can be seen in the Omayyad Mosque in Damascus, based on Syrian churches, which is all but invisible from the outside, hidden in the midst of the city, but contains two marvelous spaces, a courtyard and the lovely interior of the prayer hall, with mosaics as in churches of the time. On the other hand, a monument of the same era, the Dome of the Rock in Jerusalem , stands conspicuously like a pagan temple, high on the Temple Mount itself. But the purpose of the Dome is more like a temple. It was built less for a congregation than for the Rock itself, commemorating the Temple of Solomon and the site of the Prophet Muh.ammad's "dream journey" to heaven. Finally, the Ottoman mosques of Sinan (c.1500-1588), based on the model of Sancta Sophia, produce the monumental Islâmic equivalent of the cathedral.
D. RETURNING TO THE WEST, 518-610, 92 years
1. JUSTINIANS
Phocas
602-610
Senate in Rome ceases to meet, 602; Column of Phocas, last Imperial monument in the Forum of Rome, 608
Justinian, who had helped his stolid uncle Justin and then inherited the Empire from him, took the rested strength of the East and threw it, commanded by his great general Belisarius, against the Vandals and Ostrogoths . The Vandals, caught off guard, collapsed quickly, although with some close battles. In 540 the Ostrogoths surrendered to Belisarius, who had to rush East to meet a Persian invasion. He was too late. Khusro I had already sacked Antioch (540). Then in 541 the resistance of the Ostrogoths revived, and the plague hit the Empire. The campaign in Italy then took another 11 years, with men and money very short. Successful, if exhausted, the Romans were then able to secure part of southern Spain.
Meanwhile Justinian had built the greatest church in Christendom,
Sancta Sophia [ note ], codified Roman Law, and driven the last pagans, at Plato's Academy , out of business. This all wore out the Empire, but it could easily have recovered to new strength if further blows had not fallen. The Lombards invaded Italy in 568; and although they were unable to secure the whole peninsula, or the major cities (except in the Po valley), they became a source of constant conflict for most of the next two hundred years. Meanwhile, the Danube frontier had become very insecure. As early as 540 (again) Bulgars and Slavs were raiding into the Balkans. Maurice not only restored the frontier but crossed it to apply the "forward defense" of the Early Empire. Unfortunately, this hard campaigning became unpopular with the troops; and in 602 they murdered Maurice and his whole family. Under Phocas, things began to unravel. The Persians began the campaign that would net them the Asiatic part of the Empire, recreating the Persia of the Achaeminids, and the Danube frontier collapsed so completely that it would not be restored for almost four hundred years.
Belisarius was the Duke of Marlbourgh of the 6th Century. There are several points of comparison. First, for the military genius of both of them, although Marlbourgh may have been more consistently successful, as Belisarius suffered some defeats and inconclusive campaigns. Second, just as Sarah Churchill was for long the close friend of Queen Anne, Belisarius's wife Antonina was similarly close to the Empress Theodora. Unlike Sarah, however, Antoninia was rumored to be unfaithful to Belisarius, and her relationship with Theodora does not seem to have soured as did Sarah's with Anne.
Third, as Anne eventually turned on Sarah and then the Duke, Justinian was sometimes suspicious of Belisarius and withdrew his support. In 562 Belisarius was tried and imprisoned for "corruption," in what was certainly a political prosecution. Justinian then pardoned him, but the legend arose later that Justinian had blinded Belisarius and reduced him to begging. This would have been more extreme than what happened to Malborough; but since it does not seem to have been true, Malborough's prosecution and exile looks like the worse betrayal. The story of Justinian, Belisarius, and their wives is confused by the spleen of Procopius, whose Secret History vents his inexplicable animus against them all. Perhaps more historians, writing about their patrons -- and Procopius followed Belisarius for many years as his personal secretary -- feel this way but never express it. All of this, however, provides considerable grist for historical fiction, in which Belisarius and the others have often figured. Nevertheless, Belisarius is still not as well known as other generals in history, and the intrigues of Justinian's court, especially with strong and vivid women like Theodora, do not seem to have drawn the dramatic attention that one might expect -- perhaps because of a general neglect and estrangement from the Mediaeval history of Romania . Even so, television viewers of the popular series NCIS see the name of Belisarius every week, in the "Belisarius Productions" title of creator Donald Bellisario, whose name, of course (in Italian), itself recalls that of the great general.
As noted above , when the treasures taken by Titus from Herod's Temple in Jerusalem were recovered from the Vandals in 533, they were sent back to Constantinople. According to Procopius, the treasures were being carried in the Triumph of Belisarius when a Jew recognized them and passed word to the Emperor that keeping them in Constantinople would be inauspicious. Their removal from Jerusalem had brought misfortune on Rome and then on the Vandals. So Justinian "became afraid and quickly sent everything to the sanctuaries of the Christians in Jerusalem" [Procopius, History of the Wars, II, Book IV, ix 5-10, translated by H.B. Dewing, Loeb Classical Library, Harvard U. Press, 1916, 2006, p.281]. There, if they indeed arrived, they disappear from history. There is no reason not to think that they would have been safely kept, but the city was then captured, looted, and destroyed by the Persians in 614. At that point many treasures, like the True Cross, were carried off to Ctesiphon (though returned after the victory of Heraclius in 628). There is no mention, however, of the fate of anything, generally or specifically, from the Temple in Jerusalem. Since the Jews of Jerusalem were said to have helped the Persians (some question this, since the Persians were persecuting their own Jews), it is possible they took charge of their own treasures, but there is no report of that, and no further historical report at all about the fate of the objects -- except perhaps for the fabulous stories about the Templars , who supposedly found many things in Jerusalem, though these reports are from much later and of an incredible character. The great Menôrâh of the Temple, described in detail by Josephus and shown on the Arch of Titus, is certainly not something to be easily overlooked. Procopius, unfortunately, does not detail which items were among the treasures recovered by Belisarius. If the Menôrâh was there, any Jew of Constantinople certainly would have recognized it quickly and easily. We are thus left with a considerable mystery, and it is a little surprising that there are not, at least, legends about the fate of the Temple items. One possibility concerns Procopius' reference to "the sanctuaries of the Christians." This could mean all sorts of things and generally has been interpreted at referring to the Church of the Holy Sepulchre. However, Justinian himself was building a large new church in Jerusalem, which actually came to the called the "New," Nea, Church. This was later demolished by the Arabs, but its substructure survives under the Jewish Quarter of Jersualem . That substructure includes a vast cistern, such as Justinian also built in Constantinople. This has suggested to some that crypts of the church may also survive, possibly with items like Temple treasures, which might have been hidden from both Persian and Arab invasions. By the time the Templars arrived in Jerusalem, they might not even have been aware that the Nea Church had existed -- the cistern was only discovered by Israeli archaeologists after 1967. It seems like a thin hope, but since the Arabs don't report finding any Temple treasures, and no Jewish source mentions taking possession of them, the Nea Church is the sole remaining lead.
While we are mostly still looking at Latin names here -- Justinus, Justinianus, Tiberius -- and Justinian's first language was still Latin, or at least the Proto-Romance language spoken in the Balkans at the time, these are Emperors whose names will primarily be remembered in Greek. So I give the Greek versions. Also, while Justinian is remembered as a Saint in the Orthodox Church, the Latin Church had less use for him, despite its dependance on the Latin Law that Justinian codified. So there is little warmth in Francia for Justinian, and no rulers there ever used his name.
The arrival of the
Plague in Egypt in October 541 was the beginning of an epidemic that cost the City of Constantinople alone perhaps 200,000 citizens. The percentages of people who died in the Empire may compare with those of the Black Death in the 14th century, though by then the population of Europe had grown much larger. Justinian himself contracted the disease, but recovered. There is no doubt that this was the Bubonic plague. The historian Procopius describes it with clinical accuracy, especially the characteristic black swellings, the buboes -- a Greek word,
, that Procopius uses, perhaps for the first time for this disease. But the Plague was not the only problem. The climate was changing -- this may indeed have precipitated the plague, providing more aggreeable conditions for rats and fleas. After what is now called the "Roman Warming," we get into the " Dark Ages Cooling ." The tree ring record of 540 in Ireland is that "the trees stopped growing." Procopius said that, "For the sun gave forth its light without brightness, like the moon, during this whole year [536], and it seemed exceedingly like the sun in eclipse, for the beams it shed were not clear nor such as it is accustomed to shed" [translated by H.B. Dewing, Procopius, History of the Wars, II, Book IV, xiv 5-6, Loeb Classical Library, Harvard U. Press, 1916, 2006, p.329]. Other records give similar accounts.
The dimness of the sun may be from increased, thin cloud cover, from changes in solar output, volcanic debris, or other causes. Indeed, ice cores from Antarctica and Greenland show a sharp spike in volcanic gasses in 535. It is of such magnitude as to indicate a major eruption. Since the eruption of Mt. Tambora in 1815 resulted in a "year without summer," it is not hard to imagine the eruption of one of the major Indonesian volcanoes (or elsewhere) producing similar results for 535-536. The source of the volcanic signature was for long not identified, but it has now credibly been attributed to Mt. (or Lake) Ilopango in El Salvador, which seems to have experienced a cataclysmic eruption around 535 or 536. Thinking a lot about Indonesia, or the Aegean , for such eruptions, Ilopango is a bit startling. It also throws some light on Mayan history, since all life would have been exterminated in at least the area of modern El Salvador, and more, which was part of Mayan civilization. The eruption was at least as powerful as Krakatoa in 1883 or Pinatubo in 1991, but not as big as Tambora.
It is not clear that the eruption alone would produce the effects seen over many years, for the weather would be colder and the growing season shorter for some time (as noted for 540). The worst effects of weather on Mayan civilization also seem to occur later. The eruption may have reinforced (or initiated) what was already a cooling trend. Whatever the cause, the climate would adversely impact the population at a time, on top of the deaths from the Plague (whose movement of rats may have been caused by the cooling), when the lack would gravely affect the fate of the Empire. Without the manpower to put down the Ostrogoths more swiftly and effectively, Justinian devastated Italy in a way that would not have otherwise been necessary and that had not been effected by the original "barbarian invasions" as such. Rome was briefly depopulated, not by the Visigoths in 410 or by the Vandals in 455, and certainly not by the Ostrogoths in 493, but by the more than decade of fighting that it took for the Roman reconquest, when the city changed hands at least three times and the aqueducts were cut in sieges.
, basileía] is a beautiful shroud" [Procopius, History of the Wars, I, Book I, xxiv 37-38, translated by H.B. Dewing, Loeb Classical Library, Harvard U. Press, 1914, 2001, p.232-233]. In the same speech however, she did say, "I will not be separated from this Purple" --
, halourgís, specifically a purple robe [p.230-231 -- see the grammar of this statement]. The traditional misquotation thus deftly combines two actual quotations. This is one of the most famous statements ever about the "Purple" -- i.e. the Tyrian Purple ,
, porphýra, of Roman Imperial Robes -- although we also have the kind of stone, Porphyry, that was used in association with the Throne, both for statues of the Emperors and for structures like the lying-in pavillion for pregnant Empresses. Justinian, thus encouraged, or shamed, put down the revolt. Belisarius surrounded the Hippodrome and massacred everyone in it (perhaps 30,000 people!). Because of the damage done to the City,
Justinian launched ambitious building projects, including that for the magnificient new Sancta Sophia.
Around the year 550 we hear that a couple of Nestorian monks arrive from China with an interesting cargo. For all the earlier centuries of the Roman Empire, Romans had sent gold East through Central Asia and received back silk, the nature of which they were entirely ignorant. The route of this trade became known as the "Silk Road." From Roman authors we hear nothing about the destination of the gold or the source of the silk. From the Chinese history of the Later Han Dynasty , however, as noted above , we hear that a Roman embassy arrived in China in 166 AD, specifically to try and arrange an alternate route for the silk trade. This was never worked out. Eventually, Christian missionaries arrived in China. These were at first Nestorians, who had an advanced base as residents of Sassanid Iran , which monopolized the Western end of the trade. The first notice we have from the Chinese is the appearance of the Nestorians in the T'ang Court in 635 AD. This is in the century after the events of Justinian's reign, but it is possible, if not likely, that the missionaries were already in China, during the troubled Northern and Southern Empires period (266-589), before the T'ang Dynasty was consolidated and took note of them. In any case, the secrets of sericulture and the possession of the eggs of silkworms were closely guarded by the Chinese government. But the story we get is that the missionaries were able to smuggle out eggs inside bamboo canes. Traversing the Silk Road, they took them to Justinian. Cultivating the eggs and harvesting the silk proved successful; and so, at long last, Romania, despite the cultural decline of the Dark Ages, acquired its own domestic source of silk. The planting of mulberry trees (
), upon which the silk worms feed, is supposed to have given the Peloponnesus its later Mediaeval name:
, the Morea .
The collapse of the Danube frontier against the Avars, substantively and symbolically beginning with the fall of Sirmium in 579, resulted, not only in Avar raids and conquests in the Balkans, but a flood of Slavic migration. This would permanently inundate the areas that would become Bulgaria , Serbia , Croatia , Bosnia , and Macedonia . At the time, however, Slavic incursions and settlements extended far down into Greece, over much of the Peloponnesus, and even, by 623, to Crete. Most of Greece was no longer Greek, something noted by travelers and historians for the next couple of centuries (589-807). In the course of this, many Greeks were massacred or deported by the Avars, but others fled. The inhabitants of Patras (Patrai) on the north coast of the Peloponnesus relocated to Rhegium in Calabria. Many Laconians, from the ancient area around Sparta , actually moved to Sicily. In 583, other Laconians, led by their Bishop, fatefully sought refuge on a small formidable island on the south-eastern peninsula of Laconia (which ends at Cape Maleas).
Exarchs of Ravenna
728-751
Ravenna falls to Lombards , 751
Connected by a small spit of land at low tide to the mainland, subsequently built into a causeway, this became
, Monembasia (or Monemvasia), "One Way In," the "Gibraltar of the East." The town and fortress would become a permanent Roman stronghold and naval base. Monembasia would change hands several times in the troubled times after the arrival of the Fourth Crusade and would finally survive as the last possession of the Despot,
, of the Morea , the last piece of Romania and the Roman Empire, after the Fall of Constantinople , until ceded to the Papacy in 1461, the rest of Romania having fallen to the Turks.
Above we see Monembasia at a later period, when it was under the control of the Venetians (1684). It remained a strategically important location until retaken by the Turks in 1715.
With the return of Roman power to the West, new arrangements of government emerge. Justinian abolished the dioceses. The effective Imperial governers of Italy and Africa are the Masters of Soldiers of the Armies of Italy and Africa. By the time of Maurice, the Master comes to be called the Exarch ("out-ruler"), and Italy and Africa themselves are each an Exarchate.
Exarchs of Carthage
Ceuta, c.711
Kâhina defeated, 702; Carthage desroyed, 705; Arab Conquest of North Africa, 711
Still the capital of Italy under the Ostrogoths, Ravenna becomes a Roman capital again, not of a Western Empire, but just for the Exarchate. Justinian lavished classic artwork on the city which survives until today. Indeed, the most familiar portraits of Justinian and Theodora are from mosaics in the Church of San Vitale. The Exarchate continued until the fall of the city to the Lombards in 751. The list of Exarchs, from the time of Maurice to the Lombard conquest, covers 167 years -- the time from George Washington to Dwight Einsenhower .
Archbishops of Ravenna
In Africa, the Exarchate was centered at Carthage, which enters its last phase as a player in Roman history. With less to show for its life in this period, the city fell to the Arabs in 698 and 705. Afterwards, Carthage itself, although not deliberately destroyed as the Romans once did (but suffering greatly in the Arab attacks), simply fades from history. Nearby Tunis becomes the local metropolis -- perhaps in line with the Arab policy seen elsewhere of withdrawing capitals away from the immediate coast, although Tunis is nowhere near as removed as, for instance, Cairo (Fust.ât.). Note that Tunisia was the Roman province of Africa, which subsequently became Arabic
, Ifrîqiyâ. The application of the term to the whole continent came later.
I have not found anything like a complete list of the Exarchs of Carthage, although we know that the father of the Emperor Heraclius , called Heracltius the Elder, was Exarch when Heraclius sailed East to overthrow the Emperor Phocas in 610. He died soon after news arrived of his son's success. After Heraclius, the record gets very spotty. There are gaps and uncertainties in the list of Exarchs, and the dating is confused.
It takes three invasions by forces of the Omayyad Caliphs to subdue North Africa. The Exarch was not always well supported by Constantinople, and also was not always loyal. The Exarch Gennadius II even went to Damascus to enter the service of the Caliph Mu'âwiya. It is not clear whether he became a Muslim, but he died on the way back to North Africa. A permanent Arab base was founded at
, al-Qayrawân, in Tunisia. This appears to have been held through the period of conquest, regardless of setbacks. The setbacks began to come from the Berbers, who, not always happy with the Romans, began to resist the Arabs. With the loss of Roman Carthage in 698, a Berber Queen, al-Kâhina (Dahiyah), temporary dominates the land. But the Arabs keep coming, al-Kâhina is defeated, and the Berbers convert to Islam. Count Julian in Ceuta is the last Roman commander to fall.
The office of the Roman Consuls, the chief executive officers of the Roman Republic , and dating by them, continued under the Empire until Justinian, who now replaces them with dating by Regal years. They can be examined on a popup page . As the end of an institution that began at the very beginning of the Republic, it is hard to exaggerate the symbolic importance of this event. The Roman state is now a monarchy in every detail -- although the Monarchs are overthrown with some frequency .
Arab Conquest, 638
The Ghassanids were an Arab tribe occupying the hinterland behind Syria and Jordan. This was the area that had previously seen rule by the Nabataeans and then by Palmyra . Evidently it was difficult for the Romans to maintain direct rule over an area whose inhabitants might largely be pastoral and nomadic. Indirect rule ended up accomplished by an alliance with the Ghassanids.
In the time of Justinian the Ghassanids became organized enough to be called a "kingdom" by historians, and they become an important part of Roman frontier defense in 529 when Justinian replaces the earlier Roman clients, the Salihids, with the Ghassanid al-Harith V, now the official Roman phylarch or ruler of the tribe (phylum). Such client kingdoms might be said to represent the first entry of the Arabs into Mediterranian history. If they constitute a pre-Islamic move north of Arab people, then both the Romans and the Persians converted the threat of nomadic encroachment into elements of the pre-existing balance of power between Romania and Persia. For the Persians , indeed, had their own client Arab tribe, the Lakhmids, who occupied the hinterland west of the Euphrates. The rivalry between Ghassanids and Lakhmids was not just as proxies for the Powers, but, as can be imagined, the two tribes had become rivals anyway, and there was also a religious dimension. The Ghassanids were Christians, and the Lakhmids had remained pagan.
While the religion of the Ghassanids in general would be expected to be a unifying factor with respect to Rome, there developed a difficulty. The Ghassanids became Monophysites. Indeed, when al-Harith V nominated Jacob Baradaeus Bishop of Edessa, it led to the takeover of the Syrian Orthodox Church , henceforth the "Jacobite" Church, by Monophysites. This was not something that Justinian would let stand in the way of sensible policy, but he nevertheless made one crucial mistake. When al-Harith defeated the Lakhmids in 554, Justinian, chronically short of money, discontinued his subsidy to the Ghassanid ruler. This may also have happened because Justinian had just obtained the means of growing Silk -- silkworm eggs smuggled out of the Central Asia. This rendered the Arabian border and Arabia less important for Rome as a means of circumventing Persian control of the silk trade. The discontent of the Ghassanids with this dismissal of their importance would be magnified when later Emperors began a harassment like that inflicted on the Monophysite Coptic and the Syrian Orthodox Churches. Since the Ghassanids were rather like the keystone in the defensive arch based on Egypt and Syria, the disaffection of these populations seriously weakened the Roman frontier. This was already evident during the Persian invasion of 614-628, and nothing had been done to heal it by the time of the
Arab invasion of 636. Soon the Ghassanids converted to Islam and disappeared from history.
The list here is entirely from Bruce R. Gordon's Regnal Chronologies . An extensive discussion of the Ghassanids can be found in Justinian's Flea by William Rosen [Viking, 2007, pp. 242, 303, 306, & 318]. Despite the treatment of the Ghassanids in many Byzantine histories, which often give rulers of related states, I have not seen a list in any history. Since the names of the Ghassanids include the familiar Arabic patronynmic element, ibn, the genealogy of the dynasty could actually be constructed without too much difficulty. It will also be noted that brothers often rule simultaneously, as with the several sons of al-Harith II who begin ruling in 327. Al-Harith II himself, with the epithet "ibn Maria" and living in the time of Constantine, is likely to be the tribal chief who converted to Christianity.
III. THIRD EMPIRE, MIDDLE "ROMANIA,"
EARLY "BYZANTIUM," 610 AD-1059 AD,
Era of Diocletian 327-776, 449 years
O, great-ruling [New] Rome, thou lookest from Europe
on a prospect in Asia the beauty of which is worthy of thee.
Marianus Scholasticus, "On the Palace called Sophianae," [The Greek Anthology, Volume III, Book 9, "The Declamatory Epigrams," Number 657, The Loeb Classical Library, Harvard University Press, 1917, p.364-365]
The Constantinopolitan city, which formerly was called Byzantium and now New Rome, is located amidst very savage nations. Indeed it has to its north the Hungarians , the Pizaceni, the Khazars , the Russians , whom we call Normans by another name, and the Bulgarians , all very close by; to the east lies Baghdad ; between the east and the south the inhabitants of Egypt and Babylonia; to the south there is Africa and that island called Crete, very close to and dangerous for Constantinople. Other nations that are in the same region, that is, the Armenians , Persians, Chaldeans , and Avasgi, serve Constantinople. The inhabitants of this city surpass all these people in wealth as they do also in wisdom.
Constantinopolitana urbs, quae prius Bizantium, Nova nunc dicitur Roma, inter ferocissimas gentes est constituta. Habet quippe ab aquilone Hungarios, Pizenacos, Charzaros, Rusios, quos alio nos nomine Nordmannos appelamus, atque Bulgarios nimium sibi vicinos; ab oriente Bagdas; inter orientem et meridiem Aegipti Babiloniaeque incolas; a meridie vero Africam habet et nominatam illam nimium vicinam sibique contrariam insulam Crete. Ceterae vero, quae sunt sub eodem climate nationes, Armeni scilicent, Perses, Chaldei, Avasgi, huic deserviunt. Incolae denique civitatis huius, sicut memoratas gentes divitiis, ita etiam sapientia superexcellunt.
Liutprand of Cremona (c.920-972), 949 AD, "Retribution," XI, The Complete Works of Liudprand of Cremona, translated by Paolo Squatriti [The Catholic Press of America, 2007, p.50]; Latin text, "Liudprandi Antapodosis," Die Werke Liudprands von Cremona, herausgeben von Joseph Becker [Scriptores Rerum Germanicarum, Hahnsche Buchhandlung, Hannover und Leipzig, 1915, pp.9-10; Reprint, University of Michigan Libraries, 2012].
Ghulibati-r-Rûm, fî 'adnâ-l-'ard.i,
for "king," see Feudal Hierarchy .
Once out of nature I shall never take
My bodily form from any natural thing,
But such a form as Grecian goldsmiths make
Of hammered gold and gold enamelling
To keep a drowsy Emperor awake;
Or set upon a golden bough to sing
To lords and ladies of Byzantium
Of what is past, or passing, or to come.
William Butler Yeats (1865-1939), "Sailing to Byzantium," alluding to the mechanical birds reported by Liutprand at the Macedonian court.
To most people thinking of the "Roman Empire," we are well into terra incognita here. Yet in 610 the character and problems of the Roman Empire would not have been unfamiliar to Theodosius the Great. A Persian invasion was nothing new. How far it got, all the way to Egypt and the Bosporus, was. Meanwhile, the collapse of the Danube frontier was not now the doing of Germans but of Slavs and Steppe people -- the latter beginning with the Altaic Avars, whose kin would dominate Central Asia in the Middle Ages. The Persians were miraculously defeated; but before the Danube could be regained or the Lombards overcome in Italy, a Bolt from the Blue changed everything. The Arabs, bringing a new religion, Islâm , created an entirely new world, which both broke the momentum of Roman recovery and divided the Mediterranean world in a way whose outlines persist until today. Nevertheless, the Empire, restricted to Greece and Anatolia, rode out the flood. It must have been a hard nut, since the Arab Empire otherwise flowed easily all the way to China and the Atlantic. It was hard enough, indeed, that by the end of the "Third Empire" it had been in better health than any Islamic state. The promise of new ascendency, however, was brief, both for internal and external reasons.
Meanwhile, there has been a cost paid, as we might expect, in prosperity and material culture. This is conspicuous in the coinage , where the previous style of low relief profile portraits is still typical in Justinian's day. However, we also start to get face on portraits, whose quality is less good. By the time of Heraclius, face on portraits are dominant, and soon exclusive, while their character ceases to be low relief and becomes cartoonish. This will improve again later, but the coinage will never have the photo-real quality that we expect in modern coinage and that was often present in the best work of the First Empire . That the gold coinage of the solidus still exists at all, however, is testimony to the fact that the prosperity and material culture of Romania never fell as far as it did in Francia .
A. THE ADVENT OF ISLAM, 610-802, 192 years
1. HERACLIANS
715-717
Pergamum destroyed by Arab fleet, city abandoned, 715
With Heraclius, seldom has fortune and ability so blessed a ruler only to turn so completely against him in the end. Arriving from Africa, where his father (also Heraclius) was Exarch, Heraclius easily deposed the usurper Phocas but then almost helplessly watched the Persians conquer Syria and Egypt and raid through Anatolia as far as the Borporus (in 615). With Avars and Slavs pouring into the Balkans, the Roman Empire seemed doomed to complete collapse. But then in one of the most brilliant, but far more desperate, campaigns since Alexander, in 624-625 Heraclius audaciously invaded Persia itself. He even wintered with the army in the field. In 626 the Persians arrived at the Bosporus and their Avar allies at the walls of Constantinople, trying to draw Heraclius out of the field and with a chance of destroying his power at the source. Confident that Constantinople was impregnable, which it was, Heraclius was not distracted and in 627-628 devastated Persia and defeated a Persian army at Nineveh late in 627, which precipitated the overthrow of Shâh Khusro II by his own son (628), who sued for peace.
Heraclius had received significant material aid from the Gök Turks, who were the parent of the Khazars , of long future Roman alliance. Heraclius betrothed his daughter Eudocia to the Khagan, who died (630) before the marriage could be effected. This seems to be the first of Roman relations with any Turks, and the first of at least three marriages that would be arranged with the Khazars.
The peace restored the status quo ante bellum.
In 629 Heraclius began to use the title of the defeated monarch, the traditional Persian "Great King." Thus Basileus,
, the Greek word for "King," became the mediaeval Greek word for "Emperor" (although, actually, Procopius was already using it that way in the days of Justinian ) -- as Greek now (or hereabouts) replaces Latin as the Court language as well as the language of command in the Army. Similarly,
, Basíleia, "Queen," becomes "Empress." The adjective
, Basíleios, "Kingly," is also found as a proper name, especially of two Macedonian Emperors.
With Basileus for "Emperor," the Latin word rex is borrowed, as
, to use for mere kings as such. Latin military terms are transcribed, for instance,
for dux, "duke," and
for comes, "count"; and they continued in use through the history of Romania -- they went their own semantic way, of course, in the feudalism of Francia. There was already a sense that Autokrátor,
, translated imperator, "commander," and it was typically coupled with Basileus, although not exclusively.
Under Constans the structure of the Roman Army was fundamentally changed to deal with the new circumstances of the Empire. As the traditional units, largely familiar from the 5th Century, fell back from the collapsing frontiers, they were settled on the land in Anatolia, to be paid directly from local revenues instead of from the Treasury, whose tax base from Syria and Egypt had disappeared. The areas set aside for particular units became the themes (
, thema, "placement," plural,
, themata, from the Greek verb
, tithêmi, "to put" -- related to thesis). The Themes remained the military bedrock of Romania until the end of the 11th century and soon replaced the old Roman provinces as the administrative divisions of the Empire, with the commanding stratêgos, "general," becoming the military governor of his theme. The commander of the Opsician Theme, however, was a Comes, " Count ," in deference to the origin of the Theme from the Armies in the Emperor's Presence. Thus, the Army of the East, driven out of Syria, was settled in the Anatolic Theme, where it would guard the obvious route for invasion or raids from Syria: the Cilician Gates through the Taurus Mountains. Although invasions and raids there would be, the Arabs never did secure any conquests beyond the Gates. Where the Army of the East in the Late Empire numbered about 20,000 men, the forces of the Anatolic Theme varied from about 18,000 in 773 to 15,000 in 899 [Warren Treadgold, Byzantium and Its Army, 284-1081, Stanford, 1995, p.67].
As the remnants of the Late Roman Army were settled on the land (like the earlier Limitanei), there were also standing forces that accompanied the Emperor, like the old Comitatenses. There were already two such units in the Late Empire, the Scholae and the Excubitors -- the latter had been created by Leo I in 466 as a force of Isaurians to use, under its commander Zeno, against the Germans in the Eastern Army. These would be organized by Constantine V into the core of a new Standing or Mobile Army, the Tagmata (singular, tagma, "regiment"), and would eventually grow into a large army in its own right. In 899, the Tagmata together numbered about 28,000 men, while the entire Army, Themes and Tagmata combined, added up to about 128,000 men [Treadgold, op.cit.]. This was less than half of the Augustan Army and not even a quarter of Constantine's; but considering that the Empire is reduced to the lower Balkans and Anatolia, it is proportionally still robust, especially in an Age when a paid military establishment was impossible in most of Europe. As with the decline of the Limitanei, the late Macedonian Emperors began to neglect the Thematic forces and rely on the Tagmata, which soon filled with mercenaries. Some mercenaries could be quite faithful, like the Saxon refugees from Norman England who served in the Varangian Guard for more than three centuries (the Egklinovaraggoi). This worked reasonably well while there was money. But when the finances collapsed, loses could not be made good, or the more mercenary warriors retained. This led to fiascoes like the hire of the Catalan Company (1303), who mutinied (1305) and seized the Duchy of Athens (1311). Even under the Palaeologi , landed frontier forces (now the akritai,
) remained the best investment but were imprudently neglected, with disastrous consequences.
After Constantine IV withstood the first Arab siege of Constantinople, burning the Arab fleet with the famous and mysterious "Greek Fire" (which sounds like nothing so much as napalm, since it could burn under water), it looked like the Empire would survive. With the last member of the dynasty, Justinian II, we have a curious experiment in humanity and an extraordinary story as the sequel. When Justinian was deposed in 695, instead of being killed, his nose was cut off -- as had that of Heraclonas in 641. Hence his epithet,
, Rhinotmetus, "Cut Nose." It was expected that this would disqualify him from attempts at restoration. It didn't. Justinian fled to the Khazars, where he arranged a marriage with the Khagan's sister, giving her the Christian name "Theodora." The Emperor Tiberius III, however, pressured the Khazars to expel Justinian, which before long they did. Justinian now fled to the Bulgars, who decided to support him and in 705 showed up with him and their army before Constantinople. Unable to enter the City, there was then not much the Bulgars could do. Justinian, however, was able to sneak inside; and he apparently had sufficient support to depose Tiberius and regain the Throne, a most unlikely Odyssey. His Khazar wife then joined him and gave birth to a son, curiously named Tiberius. After another unpopular reign, Justinian was then deposed again and, with his son, killed.
The curious experiment in humanity, of course, was that when first deposed Justinian was not killed but just mutilated. When it developed that this was not enough to bar him from being restored, henceforth deposed Emperors, or other politically threatening persons, would be blinded. This was more effective (although the blind Isaac II was restored by the Fourth Crusade), though now it may not seem particularly more humane than execution. Otherwise, the end of the dynasty demonstrates one drawback of the new themes: They represented such military force that the strategus, their commander, was continually tempted to revolt. This problem was soon addressed simply by dividing the themes into smaller ones.
Another noteworthy aspect of the initial overthrow of Justinian II were the slogans that were voiced by popular protests. A very curious cry, repeated (with suitable substitutions) over the centuries was, Anastaphêi tà ostéa Ioustinianoû,
, "Let the bones of Justinian be dug up!" Since Justinian was not dead or buried, it is curious how people should be calling for his exhumation. The expression may have originated in earlier circumstances, now lost. As it happens, one Pope, Formosus (891-896), was actually exhumed and put on trial, in what was then aptly called the "Cadaver Synod." This does not seem to have happened with any Roman Emperors, but this "dig up his bones" expression caught on as a way to call for the overthrown of Emperors. Another call also became traditional, which was simply to shout
, anaxíos, "Unworthy!" We can all understand that.
The maps of Romania now become much smaller. Egypt, Palestine, Spain, and North Africa are gone forever. Footholds in Italy and the Balkans remain. Greece and the Balkans would be recovered in time, but everything in Italy would eventually be lost also. For the time being, the heartland of the Empire will be Asia Minor. Although this would provide the resources for revival, even for colonization back into Greece, it was still open to Arab raids. They could not be precluded for a couple of centuries.
2. KHAZARS,
Zachariah
c.860's
The Khazars are an extremely important part of Roman history, entering it with a bang, as allies of Heraclius against Persia and operating in conjunction with him in or near the Caucasus. Ziebel is supposed to have occupied Georgia , beseiging Tiflis (Tbilisi) with Heraclius himself in 627 and then taking the city, with great massacre, in 628. The Khazars subsequently endured as Roman allies down to the height of Middle Romanian power in the days of Nicephorus Phocas , but fading quickly thereafter.
The Khazars were of Turkic derivation, speaking a poorly attested Altaic language, apparently closely related to Hunnic, Bulgar (Bolghar), and the surviving modern Chuvash. Titles familiar from Bulgar, Mongolian , Persian, or Turkish as
, Khagan, Qaghan, or
, Khân, and
, Beg or Bey, occur here as "Khagan" or "Xak'an" and "Bek." Byzantine histories do not give any lists of Khazar rulers, but Bruce R. Gordon's Regnal Chronologies comes through with most of the information I am able to use here.
The Khazar realm began as the westernmost reach of the Gök (or Kök) Turkiut Great Turkish Khanate, which extended across Central Asia. This vast but poorly documented realm broke up into Eastern and Western halves in 553/554.
Beks,
in Kerch,
?-1016
The Khazars were a further fragment of this, at the Westernmost end, around the Lower Volga, ruled by a branch of the ruling Ashina Dynasty. Exactly when the Khazars become independent of the Western Khanate is obscure, and the Khagan Ziebel who helped Heraclius, may or may not be identical to Tun[g] Yabgu (or Yabghu) Khagan (or Xak'an) of the Western Khanate.
This Khagan is reported by Moses Dasxuranci as delivering an ultimatum to the Shâh Khusro II circa 627:
If you will not retreat from the king of the Romans and surrender to him all the lands and cities which you have taken by force and return all of the prisoners of his country now in your hands, together with the wood of the Cross which all Chrisian nations worship and honor; if you will not recall your troops from his territory, the king of the north, the lord of the whole world, your king and the king of kings, says to you: "I shall turn against you, governor of Asorestan, and shall replay you twofold for each deed committed against him. I shall swoop upon your lands with my sword as you descended upon his with yours. I shall not spare you, nor shall I delay to do to you what I said I shall do." [Walter E. Kaegi, Heraclius, Emperor of Byzantium, Cambridge, 2003, p.158]
Substantial help was provided for Heraclius, but not to this degree, and without even Heraclius acknowledging pretentions that sound more like those of Genghis Khan .
In 695, Justinian II was deposed, mutilated, and exiled to the Crimea. Before long, however, he escaped to the Khazars, where he contracted to marry the sister, then baptised "Theodora," of the Khagan Busir. Although Theodora was soon pregnant, Busir had second thoughts about harboring Justinian and estranging the new Emperor, Tiberias III. Justinian was forced to flee again, this time to the Bulgar Qaghan Tervel. In 705 Tervel marched on Constantinople to restore Justinian. The Emperor was able to enter the City with a small number of men through the previously broken Aqueduct of Valens, and resistance collapsed. Tervel was given the rank of Caesar, and the Khazar Khagan obligingly sent his sister and her new son to Constantinople.
The Khagan Barjik defeated and destroyed an Arab army of the Caliph Hishâm outside Ardebil in Iran in 730, but he was then defeated and killed at Mosul a year later. With the Arabs then raiding into the Khazar homeland, in 733 the Emperor Leo III cemented the Roman-Khazar alliance by marrying his son, the future Emperor Constantine V, to the daughter, Tzitazk, of the Khazar Khagan, named as "Bihar." Baptized "Irene," her son would be the Emperor Leo IV, "the Khazar." Justinian's Khazar son had not become Emperor, but now two Emperors of the Syrian dynasty would have Khazar blood.
The line of Ashina Khagans now becomes shrouded in an obscurity even greater than what we previously had to contend with -- the "Tarkhan" of the 840's may even be a confusion, since the name actually can be a military rank. Instead, we begin to get indications of leadership falling on generals, the "Beks," who gradually overshadow or even replace the Khagans. Thus, it is the Bek Hazer Tarkhan whose army was destroyed by the Omayyads at Itil in 737. This led to a short occupation and forced Islamization of the Khazar homeland -- forced Islamization because the Khazars were still pagan and thus had no rights as "People of the Book." Under Islamic Law, their choice was conversion or death.
The means and spirit of resistance not lacking among the Khazars, Arab control was thrown off around 740. This experience, however, led to one of the most significant events in all of Khazar history: the Conversion of the nation to Judaism. This may have happened as early as 740, or at late as 861. The earlier date corresponds to the rule of the Bek Bulan Sabriel, while the later date involves association with St. Cyril . The story is that the Khazars entertained appeals and arguments from representatives of all the major religions, Judaism, Christianity, and Islam, before making their decision. Choosing Judaism may have involved a desire to remain independent of both Christian and Islamic powers. St. Cyril's visit was probably a bit late.
The existence of the Jewish Khazars immediately suggests that the subsequent Jews of Russia may be their descendants, However, modern Russian Jews have spoken Yiddish and look to be immigrants from Germany into areas of Poland that were subsequently annexed to Russia. In the same way, genetic studies tend to link Russian Jews with Jews elsewhere. On the other hand, Russians Jews often have red hair, which does not look like something of Middle Eastern origin but has historically occurred in Central Asia. Genghis Khan himself is often said to have had red hair. Also, we know that in 529 the Sassanid Shâh (or Crown Prince; he wasn't Shâh until 531) Khusro I expelled Jews from Persia and that they fled north of the Caucasus. It is therefore possible that the Khazars converted to Judaism in part because there were Jews among them, with whom they had been or were then actually intermarrying. Bruce Gordon says that Khazar Jews were known to be present in Kiev and to have emigrated to places as diverse as Spain, Egypt, Iraq, Hungary, Poland, and the Crimea, where they intermarried with other Jews. This would imply a Khazar element in much of World Jewry. With all these possibilities, the questions about the Khazars and their Judaism are certain to continue.
Gordon mentions that the list of Bulanid Beks, who may have become the Khazar Khagans, is derived from a list sent by the Bek Joseph to Hisdai ibn Shaprut, a Jewish Vizir to the Omayyad Caliph 'Abdur-Rah.mân III (912-961) in Spain. Joseph refers to himself as the "King of the Khazars."
Joseph's state, however, was in its last days. Sviatoslav I of Kiev attacks the Khazars in 965 and by 969 took the capital, Itil, on the Volga. Sviatoslav's attack was no more than a raid -- he was unable to establish any control of the area. Meanwhile, however, new nomads had arrived, the Cumans, who push the Khazars off the Steppe, until they disappear in the obscure realms of the Caucasus. Gordon gives two rulers from Khazar successor states that survived in the area, which brings Khazar history down to 1016, in the reign of the Emperor Basil II -- although there are apparent references to them even later. The rise of Russia and new movements of nomads in Central Asia would soon give Romania new allies and new formidable and deadly enemies.
4. ISAURIANS (SYRIANS)
792-802
Council VII, Nicaea II, Iconoclasm condemned, 787; Black Sea freezes, winter of 800-801
While Leo III held off another Arab siege of Constantinople, the position of Romania in the West deteriorated. With Africa gone, it became harder to project authority into Italy and harder to resist the Lombards. John Julius Norwich (A History of Venice, Vintage, 1989)
links the election of the first Doge of Venice with Leo's prohibition of images; but the election was in 727, during a tax revolt, not in 730, when Leo did prohibit images, alienating the Western Church.
The prohibition of religious images began the Iconoclasm controversy. One way to understand it is to realize that the conflict between Islâm and Christendom was not just a contest of arms but, mutatis mutandis, an ideological struggle. Christians were not being accused, to be sure, of oppressing the workers, but they were being accused of being polytheists (because of the Trinity) and idolaters (for making and venerating images). Indeed, some Islâmic attitudes are familiar from later religious ideological conflict, since disgust and condemnation of a priesthood and celibacy, not to mention the use of images, could later draw sympathy from Protestantism. The Thousand and One Nights derives great humor from the notion that the incense burned by Christians (but not, of course, by later Protestants) was made from the dung of bishops.
Since Leo III is considered to have come from either Syria or the nearby Isauria, his concern about this issue is supposed to have resulted from his sensitivity to the effect of Islâmic charges on the previously Christian populations of the areas, like Syria, conquered by Islâm. Conversions did not have to be effected by force, which was prohibited by the Qur'ân anyway, but by powerful persuasion (and, easily understood in modern terms, tax incentives). So Leo, a sort of proto-Protestant, decided to clean up Christianity's act. This did not find any traction in the West, however. The Latin Church felt no sting from Islâmic ideology. Leo's successes against the Arabs, obvious evidence of the favor of God, became associated with Iconoclasm. After images were restored by Irene, and military reverses seemed to follow, the favor of God was apparently withdrawn. The final Iconoclast period (815-843) was of such mixed military fortunes, with a serious defeat in 838, that worries about the favor of God faded, as Papal support for images had never faltered.
A geologically significant event occurred with the eruption of the volcanic island of Thera (Santorini) in 726. The volcano had been active since 718, but the eruption of 726 blew ash as far away as Macedonia. This may have been the largest eruption in Europe since Mt. Vesuvius in 79 AD. Such an event may have contributed to Leo's sense that the Wrath of God had been provoked and that something like Icoclasm was the proper response. In the longer view of history, the most striking thing about the event is its echo of the great eruption of Thera that is now dated to have been between 1627 and 1600 BC (right at the end of the Egyptian Second Intermediate Period ). This wiped out what seems to have been a very large city of the Minoan Civilization on Thera. With ash, earthquakes, and tsunamis affecting Crete, the eruption may have delivered a devastating blow to that Civilization, which then limped on in part through its Greek, Mycenaean adaptation. Memory of the event may account for the stories of Atlantis related by Plato . Today Thera is a popular tourist destination, though the bay of the caldera is too deep for ships to anchor. Recently (April 6, 2007), the cruise ship Sea Diamond sank in the bay, with the loss of two passengers.
The final fall of Ravenna to the Lombards in 751 led to the intervention of the Franks in Italy, at the urging of the Pope.
Romania would never return to Central or Northern Italy. Nevertheless, the form of the Exarchate of Ravenna across central Italy, a corridor held between the Lombards in the north and those in the south, survived as the "Donation" of the Frankish King Pepin to the Pope -- the Papal States , whose history ran from 754 to 1870, 1116 years. Thus, although politically insignificant after 751, Ravenna nevertheless casts a kind of shadow deep into modern history -- including the name that, as a Roman capital, the city gives to the surrounding region, Romagna -- a word that looks like "Romania" where the "i" has patalalized the "n," the equivalent of Romaña, as we might write it in Spanish. Even as late as 1500 AD, as we see on the map below (Historical Atlas of the World, Barnes & Noble, 1970, 1972, p.49), the Archbishop of Ravenna has jurisdiction over an area of Northern Italy still coextensive with the historic Romagna.
But it was in Bologna, the largest city of the region, where the Pope last crowned a Holy Roman Emperor, Charles V , in 1530. Note that Modena and Parma are separate states in the Renaissance.
, "Copronymus," "Name of Dung" -- certainly one the harshest, crudest epithets in the history of royalty. Nevertheless, Constantine's reign may be regarded as generally successful, and the epithet is simply due to his persecution, including torture and execution, of those opposed to Iconclasm. In another proto-Protestant move, Constantine began forcing monks and nuns, strong supporters of icons, to marry. Otherwise, there were military successes against the Bulgars and even Arabs, where the Abbasid Revolution disrupted the attention of the Caliphate.
Constantine also began developing mobile military units, the tagmata (singular, tagma, from tassein, "to arrange, put in order" or "to draw up in order of battle" -- "regiment" would thus be an appropriate translation),
in addition to the landed thematic forces that had become fundamental to Roman military power. The units were commanded by a Domestic (Domesticus), except the Watch, whose commander was a Drungarius. This represented the first steps back to a paid professional army and so is a sign of a reviving economy. The Empire, however, would never be able to remain strong without the themes, and their collapse at the end of the 11th century would be the end of Romania as a hegemonic power. Eventually the Tagmata consisted of the Scholae ("Schools"), the Numera ("Number," feminine of Latin Numerus, used for a military unit), the Walls (Teichistai, or tôn Teicheôn, "of the Walls"), the Excubitors ("Sentinels"), the Optimates (Latin "the Best"), the Watch (Vigla, familar from "Vigil" in English, or Arithmos, equivalent to Numerus in meaning), the Hicanati ("Able Ones"), the Immortals (Athanatoi, named for the elite unit of Achaemenid Persia , who members were replaced as soon as they fell), and, finally, the Varangian Guard. The Scholae were Guard units founded by Constantine. The Numera and Walls were garrison troops for Constantinople, doubtlessly dating from the foundation of the City. The Excubitors had been created by Leo I with Isaurian recruits as part of his plan to purge the Army of Germans. All these units had rather withered until Constantine V, who recreated them as his own personal force after the revolt of Count Artabasdos (741�743) of the Opsician Theme. The status of the Optimates, which began as a fighting force with the other Tagmata, soon became a support unit, providing and supervising transport and logistics. Its commander remained a Domesticus, but it was settled on land, like a Thematic army, in the Optimakôn ("of the Optimates") Theme on the Asian side of the Bosporus, where other Tagmata units might be quartered. The Optimates thus are best regarded as a Thematic force that nevertheless is dedicated to the support of the Tagmata.
The next
Tagma added to the Army was the Watch, created by the Empress Irene from drafts of Thematic soldiers because the Scholae and others were strongly Iconoclast in sentiment and were interfering with her plans to Retore the Icons. There is some confusion about the names here. The Watch (Vigla) was also called the Arithmos, "Number," which was equivalent to Latin Numerus, and sometimes seems to be confused with the Numera Tagma. Thus, Warren Treadgold says that under Constantine V the "senior tagmata, the Scholae, Excubitors, and Watch" were cavalry units, while the "junior tagmata, the Numera, Walls, and Optimates," were infantry [Byzantium and its Army, 284-1081, Sanford, 1995, p.28]. He also adds that the Hicanati, created by Nicephorus I, were "a fourth cavalry tagma" [p.29]. If we need merely switch the Watch and Numera in Treadgold's account, we also have the problem that the third force of infantry would then still not exist until the Empress Irene. The Watch (or Treadgold's Numera), however, may have existed in some form before Irene. From its name, it does sound like part of the garrison force of Constantinople, since it has always been the job of a Watch, before the existence of police forces, to patrol cities at night to enforce the law and the peace. Irene may have transformed the Watch into a proper tagma, as Constantine V did with the original units he took in hand. The final tagmata, the Immortals and the Varangian Guard , would added by the Macedonians .
As Frankish power waxed, the Pope took the step of crowning the Frankish King Charles as Emperor in 800. This was during the reign of Irene, who had taken the throne exclusively for herself, the only Empress ever to do so, by having her son Constantine VI blinded (he died, too). Although Irene restored the images and reconciled the Eastern and Western Churches, the Pope decided to arrogate the authority of crowning a proper, male Emperor to himself (later justified with the fraudulent "Donation of Constantine" document, by which Constantine I had supposedly given the entire Western Empire to the Pope). While Charlemagne even offered to marry Irene, who could have regarded him as only the rudest of barbarians, this all signaled a fundamental parting of the ways between the Latin Europe of Pope and Franks ( Francia ) and the Greek Europe of Romania. Note the parallels between the reign of Irene and that of the slightly earlier Empress Wu (685-705) of T'ang Dynasty China. Because she did restore the Icons, Irene was later venerated as far away as the St. Catherine's Monastery at Mount Sinai -- although by then Sinai had been lost to Romania for almost two hundred years. She does not seem to have gotten as much credit closer to home, perhaps because Iconoclasm returned for a while.
5. DOGES (DUKES) OF VENICE, 727-1797
Orso (Ursus) Ipato
Venice Falls to Napoleon Bonaparte , 1797
Venice was the "Most Serene Republic" (Serenissima Repubblica di Venezia), or the "Queen of the Adriatic." The title of Doge derives from that of a late Roman commander of a military frontier, Dux ("leader,"
in Greek, duce in Modern Italian). This is cognate to English " Duke ." The Doges were always elected, from a variety of families, as their names indicate.
Over time their powers were increasingly limited, as Venice evolved into an oligarchic Republic. The Duke of Venetia at first would have been like many other Romanian officials in Italy, such as the Dukes of Naples , but Constantinople rarely had occasion or ability to exert direct rule over Venice, so over time the city drifted into independence, competition, and eventually belligerence.
The name "Venice" is derived from the name of the Roman province that embraced the whole area, Venetia. The principal city of Venetia was Aquileia. Although sacked by the Goths, the Huns, and the Lombards, Aquileia remained the most important city of the region for most of the Middle Ages. However, in the troubled times, people would flee the mainland to barrier islands along the coast or to islands in the lagoons behind them. Aquileia itself thus acquired a counterpart, Grado, on the nearby barrier island. To the west, a community formed on Rialto Island in the much larger lagoon seaward from Padua. Farming or building on such islands was a challenge. Earth needed to be brought in or dredged up to fill plots created from woven grasses. Substantial buildings required foundations of logs driven down into the muddy soil. Eventually this allowed a large city to rise on the Rialto. As its strength grew, the Rialto became powerful and preeminent and took on the name of the whole province -- Venetia, Venezia, Venice. The power of Aquileia was reduced by Austria, and finally the city itself was annexed by Venice in 1420. The Patriarchate that had been seated at Aquileia, and then had been divided with Grado, ultimately moved to Venice alone. Since 1451, Venice has been the seat of the Patriarchs of Venice, whose story can be examined in a separate popup . Although it is commonly thought that the mainland was abandoned in the 5th century and the whole population moved permanently to places like the Rialto, this does not seem to have been the case. It was a more gradual process, and the success of Venice may have been due to the realization that it provided defense, not against barbarian invasions, but in the face of the Frankish Emperors and other mainland powers. Venice, indeed, would be immune to conquest until Napoleon.
Venice was briefly in the power of Franks . According to Constantine VII Porphyrogenitus , the Venetians told King Pepin, "We want to be servants of the emperor of the Romans, and not of you" [De Administrando Imperio, Greek text edited by Gy. Moravcsik and translated by R.J.H. Jenkins, Dumbarton Oaks, Center for Byzantine Studies, 1967, p.121]. Eventually the Venetians agreed to pay tribute, but it steadily declined to a merely nominal sum.
The list of Doges is taken from Byzantium and Venice, A Study in Diplomatic and Cultural Relations, by Donald M. Nicol [Cambridge University Press, 1988, 1999], and Storia di Venezia Volume II, by Eugenio Musatti [4th edition, Fratelli Treves Editori, Milano, 1937]. A complete list can also be found in A History of Venice, by John Julius Norwich [Vintage Books, 1989].
After the Schism of the Eastern and Western Churches (1054), there came to be growing religious hostility between Venice and her metropolis. However, Venice never quite fit in to the political system of Francia . For a while, as noted, the Republic paid tribute to the Carolingians but quickly enough shook off any obligation. Playing Constantinople and the West against each other, Venice never really acknowledged the authority of the Frankish or German Emperors and in time was relatively safe in its lagoon from attempts to impose imperial authority, whether from East or West. With the decline of Romania, Venice largely pursued its affairs at the expense of Constantinople and only came to be pushed out of the area altogether by the Ottomans .
When Alexius Comnenus signed a pact with Venice in 1082, the Republic became a partner with the now beleaguered Constantinople. During the honeymoon period we get the completion of St. Mark's Cathedral -- a mature Romania seeding its culture into the maturing Venice.
The honeymoon didn't last. The pact gave Venice a choke hold on the trade of Romania and on naval power in Romanian waters -- on at least one occasion Venetians burned Roman warships on the stocks before they could be completed. Although Alexius didn't have much choice at the time, this led to retaliation later. Manuel I arrested all Venetians in 1171 and little but hostile relations followed -- even peaceful exchanges revealed tragic inequality, as when the Imperial Crown Jewels were pawned with Venice in 1343.
The fall of Constantinople to the Fourth Crusade in 1204 was largely engineered by the Doge Enrico Dandolo, who was actually buried in Sancta Sophia. By the settlement with the Crusaders, Venice was ceded 3/8 of the Empire, and the Doge henceforth styled himself quartae partis et dimidiae totius imperii Romaniae Dominator ("Lord of a quarter and a half [of a quarter] of the whole Empire of Romania"). Norwich interestingly translates this as "Lord of ... the Roman Empire" (p.147), but the phrase was imperium Romaniae, "Empire of Romania," not imperium Romanum, "Roman Empire." Venice was obviously not claiming 3/8 of the Empire of Trajan, but of the much reduced mediaeval Romania (this looks like part of the conspiracy of ignore the word "Romania" in Roman and "Byzantine" studies). This fragmentation of Romania helped Venice maintain her advantages, but it weakened the whole in the face of the eventual Ottoman threat. Venice could neither hold off the Turks nor support a local state strong enough to do so.
When the Emperor Michael VIII Palaeologus took Constantinople back from the Crusaders, he conferred commercial advantages, not on Venice, but on her hated rival, Genoa , which, of course, had been Roman until lost to the Lombards in 642. This confirmed that Italy rather than Romania would be the center of trade and naval power in the Christian Mediterranean. Genoa was even granted the city of Galata, just across the Golden Horn from Constantinople itself, in 1267. As the Turks fatally invested Constantinople in 1453, it was Genoa rather than Venice that contributed to its defense -- though Galata itself remained neutral.
The most famous Venetian of the 13th century, and possibly of all history, was Marco Polo (c.1254-c.1324). Polo's business travels with his father and uncle to the China of Qubilai Khan might have gone unrecorded, like the stories of many other such travelers, if he had not been taken prisoner by the Genoese in 1298. Languishing in prison in Genoa, Polo began telling his story to a fellow prisoner. This happened to be the Pisan writer Rustichello (or Rusticiano), who thought that Polo's tales might make a good book and wrote it up, in French. This Divisament dou Monde, "Description of the World," soon to be called Il milione, "The Millions," was more a catalogue of places than a narrative of travels. Nevertheless, it was a sensation -- though people had trouble believing the numbers and scale of the places and domains described. One story about Polo himself is that he was questioned about just this on his deathbed. He replied, "I haven't told the half of it." Now that we know independently about the Mongol Empire , even this anecdote has the ring of truth. China alone was vast beyond the reckoning of 13th century Europe. Although serious questions have been raised about some of Polo's claims, details of his story, like the custom of the Chinese of making offerings to the dead by burning paper money or paper copies of other things, are still familiar and unique features of Chinese culture. The legend that Marco introduced noodles from China is now commonly discounted, but there is little doubt that someone did that in this era. The Romans were not eating pasta, but at some point we realize that the Italians are. If we then ask where such a preparation existed previously, the answer is China -- something probably as old as Chinese history and still the traditional alternative to rice in any Chinese (or Japanese, etc.) restaurant. As it happens, there are indications that noodles had already come down the Silk Road and been passed on through Islâm; but nothing was to stop Polo from bringing his own noodles, to unknown local effect.
What seems extraordinary about Venice now is how a mere city had become a Great Power, contending on terms of equality, if not superiority, with all of Romania. The tail wagging the dog indeed. And while Venice was never the equal of Turkey, it was for long one of the major belligerents contesting Ottoman advances. What this reveals is the stark difference in wealth between the cash economy of a commercial republic (Venice began minting gold Ducats in 1284) and, on the one hand, the poverty of subsistent kingdoms, like other Western European states and, on the other hand, the fractured economy of Romania, which had previously perpetuated commercial traditions. Venice was soon joined by other Italian cities, like Pisa and then Genoa , in exercising the power made possible by their wealth.
As commercial life began to grow in the North, the Italians began to lose their advantage. After Flanders and the Netherlands became centers of trade and manufacture, the Dukes of Burgundy first benefited from this wealth, then the Hapsburgs , and finally the Netherlands as an independent power. The latter eventuality is especially revealing. The Netherlands was a commercial republic again as Burgundy and the Hapsburg domains had not been. What's more, Amsterdam became the center of European banking, with that preeminence passing from, as it happened, the cities of Northern Italy (remembered in "Lombard Street" in the City of London). The next financial centers, of Europe and the World, would be London and then New York. In the course of all that history, the apparent power of the Italian cities was punctured like a balloon in 1494, when King Charles VIII of France invaded Italy. This is one of the events regarded as marking the end of the Middle Ages. It certainly revealed the comparative disadvantage into which the Italian powers had fallen. A nice recent movie about this period was Dangerous Beauty (1998), about a popular courtesan who ends up in a tug-of-war between Venetian nobility and the (rather unwelcome in Venice) Holy Inquisition. We happen to notice in the course of the movie that Venice has been expelled from Cyprus by the Turks (1571).
Just as bad or worse for Venice's position was the Age of Discovery. The Italian cities had grown strong on the trade of the Levant, and the new Atlantic powers wanted very much to have a way to avoid their mediation, let alone that of Turkey and Mamlûk Egypt , in the transfer of goods from India and further East to Europe. Columbus, therefore, was out to make an end run. Since he ran into the Americas instead of Asia, this diverted Spanish energies, but for Portugal Vasco da Gama did the job of getting to India around Africa in 1498. This eliminated Italy or the Turks from any central position in world trade. They could only fade, in the most literal sense, into back-waters. The Ottomans briefly tried to project their power into the Indian Ocean, occupying Yemen , pressing upon Ethiopia , and even sending to aid to the distant Sultân of Acheh in Sumatra; but the effort, like other Ottoman initiatives, soon petered out.
If the power of Venice began to fade in the 15th and 16th centuries, she was nevertheless one of the intellectual centers of the Renaissance . No one had a greater role in this than Aldus Manutius (Teobaldo Mannucci, d.1515), who founded the
Aldine Press and, with help of a large staff of Greek expatriates, created printed editions of a large part of Greek literature, often in the convenient octavo pocket editions that he popularized. He was personally motivated to see to it that Greek literature should not only be preserved in printed editions but be made available to all. In 1502, he founded a "New Academy," devoted entirely to Greek, with its business, rules, titles, etc. all conducted or rendered into Greek --
which was also the case in Manutius' own household. Indeed, the members of the Academy, who would include Erasmus , even adopted Hellenized names. The results of his publishing business, besides the pocket editions, included the Italic style of typeface and the formulation of modern punctuation, including the semicolon. Thus, Venice, which had done so much to destroy the power and civilization of Romania, nevertheless played a significant role in preserving its heritage. We must reflect on the irony of this.
The decline of the Turks in the 17th century allowed a brief Venetian resurgence, whose most striking event, however, was probably the destruction of the Parthenon in 1687, when a Venetian cannonball detonated an Ottoman powder magazine -- the ruin of the Acropolis was not produced by the Goths , the Huns, or any event of the Middle Ages, but by modern warfare. By that time a city state was going to be no match for the colonial and maritime powers that were rapidly becoming modern nation states. Venice lapsed into a kind of 18th century version of Las Vegas, a curiosity and a diversion -- and Las Vegas has now reciprocated with the Venetian Hotel . It was such a Venice that produced the memorable career of Giovanni Casanova (1725-1798), who saw the best and the worse of the City, from its marvelous entertainments and his own famous seductions to its terrible prisons and secret tribunals.
After invading Italy and defeating the Austrians, Napoleon had to exert little enough power to eliminate what had become an anchronism. The French were a little puzzled by the hostility of the Venetians to their occupation, since the rousing Republican rhetoric of the French didn't have the effect they expected -- but it was in a place that was, well, already a Republic. Napoleon, indeed, might have taken some lessons from the venerable and terrifying Venetian system of secret police and hidden inquisitorial courts.
One of the sights of Venice, the "Bridge of Sighs," is a covered way that secretly transported prisoners back and forth from their star chamber trials to their hopeless cells. However hostile to the French, the spirit of Venetian independence was soon forgotten, and it was the Sardinian Kingdom of Italy that detached Venice from Austria in 1866. The Venice of the subsequent period appears in Thomas Mann's Death in Venice (Der Tod in Venedig, 1912), which has been described as, "a symbol-laden story of aestheticism and decadence ..." Venice was just the place for that.
On the other hand, the art of Venice, in music -- as with Antonio Vivaldi (1680-1743) -- painting -- as with Titian, Tiziano Vecilli (1477-1576) -- and architecture, is an enduring and vivid monument. Part of this is a hint of the lost beauty of Constantinople, since St. Mark's Cathedral, crowned with four great horses from the Hippodrome and countless other treasures looted from Constantinople in 1204, is a copy of the vanished Church of the Holy Apostles, the burial place of Constantine and his successors (whose site is now occupied by the Fatih Jamii, the mosque, institute, and burial place of Meh.med II , the Conqueror [Fâtih.] of Constantinople).
Although decorated with loot, the present church was completed earlier, in 1094 (or 1071), with the help of artisans from the still friendly Emperors. The Rialto Bridge across the Grand Canal, the Campanile bell tower (campana, "bell"), the Lido barrier island, and other structures and sites have now contributed their names, if not their images or functions, in countless modern landscapes. Oxford University has its own Bridge of Sighs, at Hertford College (right), though it apparently was never used for the same purpose as the Venetian (mercifully). In fact, although it is labelled the "Bridge of Sighs" on all maps of Oxford, it is not called that in the College, simply "the Bridge"; and it looks more like Venice's Rialto Bridge than the Bridge of Sighs. Cambridge University also has a Bridge of Sighs
, across the Cam River, at St. John's College (left). The Campanile on the Berkeley campus of the University of California (the Sather Tower, below right), on the other hand, almost identical in appearance to the one in Venice, houses a fine carillon, a sort of organ with bells instead of pipes.
The Venetian Hotel in Las Vegas reproduces several of the landmarks of Venice, although not St. Mark's. P.J. O'Rourke, in a humorous comparison of the hotel and the city, points out that the Rialto Bridge at the hotel has safety features to prevent children from falling through the bridge railings. In Venice itself, perhaps deprived of the American Tort Bar, it seems to be the responsibility of parents to keep their children from falling off the bridge into the Grand Canal.
Poised between Francia and Romania, Venice thus preserves much of the beauty and atmosphere that was lost and forgotten after successive catastrophies to Constantinople. The City ended up itself as something out of its time, a Mediaeval Republic in an age of nation states, even as now it is rather like a living museum, slowly sinking into the lagoon that originally gave it refuge.
Indeed, the low muddy islands in the lagoon, once a redoubt, now are Venice's greatest peril. With zero elevation, the City is vulnerable to high seas, high tides, and any significant changes in sea level. Pumping out ground water under the City, long the simplest source of fresh water, threatened to leave it permanently awash. That danger was soon recognized and attempts have even been made to restore the water, though that is more difficult. However, the weight of buildings on the mud itself means they slowly sink; and, even worse, the whole geological province on the East side of Italy is being suppressed by tectonic forces. The continually threatened rises in sea level from global warming then sound like the final straw. Barriers may soon seal off the lagoon from the Adriatic during storms or high water, but this raises the problem of discharging the waste water brought down from inland cities. Any durable solution promises to be difficult, expensive, and perilous to the traditional character of the City.
Rome and Romania Index
B. REVIVAL AND ASCENDENCY, 802-1059, 257 years
400 years after the opportunity might have originally presented itself, a German finally claimed the title of Roman Emperor. This was the Frank Charlemagne, in a move legitimized by the Pope and by the reign of a woman, Irene, in Constantinople. For a while, Francia looked larger and much more powerful than Romania, but institutionally it was nowhere as sound or durable. The Empire of Charlemagne fragmented among his heirs and lapsed into feudalism , a system for government without cash or literacy. Meanwhile, Romania, with institutional continuity, commercial culture, and education, began to recover its strength, despite some severe blows continuing to fall.
1. NICEPHORANS
813-820
Iconoclasm restored, 815; first Varangian (Viking) raids in Anatolia, 818
The reigns of Irene and Nicephorus I begin what Warren Treadgold calls The Byzantine Revival, 780-842 [Stanford U. Press, 1988]. Despite the loss of most of Europe and continuing
Arab raids into Anatolia, the population and the economy of the empire were actually growing, and Nicephorus was able to start transplanting colonies of people from the east back into Greece. This soon led to the recovery of most of the Greek peninsula. It is hard to know how much this means Modern Greeks are descendants, not just of Greeks, but of Phrygians , Galatians , Isaurians, and other ancient (and extinct) inhabitants of Anatolia, as well as Slavs who had migrated into Greece and become assimilated. There is also the complication that colonists from Greece and the Balkans had previously been moved to Anatolia, to compensate for losses from Arab raiding. So people, of various sorts, who had begun in Europe, and then moved to Asia, grew into populations that then were transplanted back into Europe. Very confusing; and not something that leaves clear ethnic footprints. Perhaps DNA testing can sort it out.
Unfortunately for Nicephorus, and his evocative "Bearer of Victory" name, the "revival" was not without its setbacks. Nicephorus ended up killed in battle against the Bulgars , becoming one of the small number of Roman Emperors dying in battle against a foreign enemy. His skull was made into a drinking cup up by the Bulgar Khan Krum. His son Stauracius, proclaimed Emperor after the battle, turned out to be paralyzed from a spinal wound. His attempt to vest the throne in his wife Theophano (reportedly an Athenian relative of Irene), was foiled by his sister Procopia and her husband Michael Rhangabé. Michael then was inactive and indecisive and was overthrown by Leo the Armenian, an in-law of the subsequent Amorian dynasty. It would be some time before the Bulgars could be seriously defeated, much less subdued. Until then, it would be impossible to restore the Danube border.
the Drunkard
842-867
Final repudiation of Iconoclasm, body of Constantine V exhumed & burned, 843; Varangians attack Constantinople, 860; Arab army annihilated, Amir of Melitine killed, at Poson, 863
(Theophilus II)
867
In this period, aptly called the "Second Dark Age," the Arabs took to the sea -- which they had done before, but not previously in a sustained and systematic way. With the simultaneous advent of the Vikings, this made both Franks and Romans vulnerable in North and South. Crete was lost for over a century, and fighting began on Sicily that would last for more than 50 years and result in the permanent loss of the island.
Now we also find the last of Iconoclasm laid to rest, though one will note even today that the Orthodox Churches prefer Icons rather than sculpture in the round for sacred images.
The resolution of this conflict removed a point of friction between the Western and the Eastern Churches. It did reveal, however, how easily such conflict could arise. The later (1054) Schism of the Churches would be over apparently much more trivial issues -- the real issue, of course, was simply authority. The military successes of Iconoclast Emperors came to a dramatic end in 838, when the Caliph Mu'tas.im invaded Anatolia, defeated and very nearly captured Theophilus, and then destroyed the Emperor's own home town, Amoricum, enslaving the population. When Theophilus died young, leaving only a young son, the Empress Theodora, as Regent, moved to end Iconoclasm. At a Council in 843, on the first Sunday in Lent, the Iconoclast Patriarch John the Grammarian was deposed and the Iconophile Methodius installed as Patriarch . The Icons were restored. Orthodox Churches still commemorate the restoration of the icons on the first Sunday of Lent, which is called the "Sunday of Orthodoxy." Since Orthodox Churches use the Julian Calendar, this day can be more than a month after the first Sunday of Lent on the Gregorian calendar.
This period sees a turn of the tide against the Arabs. In 838 the Caliph al-Mu'tas.im (833-842) raided Anatolia, as the Arabs had been doing about annually for a long time, but this time in such force as to defeat the Romans in battle at Dazimon and then to sack the cities of Ancyra (Angora, now Ankara) and Amoricum (now Konya). Since Amoricum was the home of the present Empeor Theophilus, this was particularly humilating. A few years later, the subsequent Caliph, al-Wâthiq (842-847), began to execute prisoners from these cities who refused to convert to Islâm. Since the Romans had their own Arab prisoners, an exchange was suggested, and accepted. In 845 embassies between the Caliph and the new Emperor Michael III, or his Regent mother, Theodora, were exchanged to negotiate the prisoner exchange.
The Arab historian at.-T.abarî, in his Annales (edition in Leiden, 1883-1884), relates details of the embassies, and we see him use an Arabic title for the Roman Emperor. The Roman ambassadors are themselves called
, rusulu S.âh.ibi-r-Rûm, the "messengers of the Emperor of the Romans," one of whom seems to have been the future Patriarch Photius . See the discussion of the expression for "Romans." So here the word for "Emperor" is
(irregular or "broken" plural
, s.ah.âbah), which is familiar, as "Sahib," in countless movies about India and Africa. It is an important word in Arabic. S.âh.ib can mean "owner, possessor, master, lord," etc., as it does here, or it can mean "companion, comrade, friend, follower" (comes in Latin). Thus,
, as.-S.ah.âbah, are the "Companions" of the Prophet Muh,ammad. These are the most important personages in the history of Islâm apart from the Prophet himself. Also noteworthy is the term
, "messengers," where the singular,
, rasûl, is found in the expression
, rasûlu-llâh, i.e. Muh.ammad as the "Messenger of God," which is used in the Confession of Faith.
Not long after these events, in 863, another raiding Arab army, led by the Amir of Melitine, was annihilated, and the Amir killed, in battle at Poson. This was not the end of Arab raiding, but it did mean that the Romans were now getting the upper hand, and the period of Arab raiding and domination was coming to an end. One reason for this is the improvement and maturity of the new Army.
By the time of the Amorians, the Army has settled into its classic form and is much improved in numbers, organization, and effectiveness. The loss of Sicily and Crete is not encouraging, but the heartland of Anatolia is being defended with increasing success, and the lost territories in the Balkans are now being recovered and resettled. Bulgaria stands in the way in that direction and will eventually be dealt with. By 878 Sicily will be lost forever (although Rometta holds out until 965). It is possible that it could have been recovered, but now the remoteness of the command, and eventual disloyalty of the Norman mercenaries, will snuff out such a hope. This is the army with which the Macedonians will eventually defeat and conquer Bulgaria, pass through the Cilician Gates, recover Antioch, and invade Syria. Later, when the Thematic forces are neglected, the mobile army, the Tagmata, will prove insufficient, as the Moble Army alone had earlier in the Fifth Century .
The arrival of the Varangians (839), which meant the Vikings who had come down the rivers of Russia , added a new element to Roman history. Constantinople became to them Miklagarð, or Mikligarð (Mikligarðr with the nominative ending), but often rendered Miklagard, Miklagarth, or Miklegarth -- the "Great City." Here the element mik- is cognate to mag- in Latin magnus and meg- in Greek megas, both "great." Curiously, there is an archaic adjective in English, "mickle," meaning "great" or "large," which is this very same word. A cognate survives in recent English, the humble word "much." The other element, gard (Old Norse garðr), "enclosed," is cognate to English "garden" and "yard" (and the name "Garth") as well as to gorod and grad, "city," in Russian -- as in Tsargrad,
, for Constantinople (the final "soft" sign,
, was in Old Church Slavonic but is lost in modern Russian). We see this element in Midgard, or Miðgarðr, "Middle Earth," the realm of men in Old Norse and in Tolkien's The Lord of the Rings. The "Great City" (we could say "Mickleyard" with English words) could not have been more appropriate, since Constantinople was the largest city in Europe until at least the 13th century, as it was the center of the only real cash economy in Europe perhaps until the 11th century.
Relations with the Varangians rocked back and forth between war and trade, mainly depending on what the Norsemen thought they could get away with -- they would be prepared for both. The contact in 839 was an embassy, which had encountered sufficient difficulties coming down the rivers of Russia that it requested the good offices of the Emperor in negotiating passage back by way of the Frankish realm of Louis the Pious . Louis already knew about Viking raids and was suspicious that these travelers, although vouched for by Constantinople, were nevertheless of their kind. Assured (falsely) that they were not, the embassy was allowed to pass. Soon, Varangians would have little fear of traversing Russia and would begin raiding Roman territory and even attacking Constantinople. As it happened, the Norsemen were rather less successful against the Romans than they were against the Franks, and bouts of attacks were usually followed by treaties -- where such reconciliation was rarely necessary in the West. To the Varangians, the Roman Emperor becomes in Old Norse the Stólkonungr, the "Great King," with "great" in this case borrowed from Old Russian (as in Stolnyi Knyaz, the "great prince " of Kiev -- stolnyi does not have this meaning in Modern Russian), and "king" (konung) familiar from other Germanic languages (e.g. German könig). This echoes Megas Basileus in Greek, the translation of the title of the Great Kings of Persia and the origin of the use of Basileus for "Emperor" in Mediaeval Greek.
We are approaching the point in European history where the remaining pagan peoples of Europe will be assimilated to Christian civilization. Bulgaria will lead the way, but it will soon be following by Hungary, Poland, Russia, and Scandinavia. The Pechenegs (or Patzinaks), a Turkic steppe people, will remain pagans until they are swept from history by the Cumans and Mongols. On the east edge of the map is the Khanate of the Khazars , also Turkic, who actually converted to Judaism. They would be Roman allies until disappearing in the 11th century. Shown on the map are the tracks of several raids by the Magyars into Francia. It is striking how far afield they go. A more intimate picture is provided elsewhere for Burgundy .
3. BULGARIA BEFORE ROMAN CONQUEST
Asparukh
Bulgaria annexed by Basil II , 1018
Although today the Bulgarians are thought
of as simply a Slavic people, like the Russians or Serbs, they were originally a nomadic Turkic steppe people, more like the Huns or Mongols. The first title of their leaders here, qaghan, is recognizably more Mongolian than the form more familiar from Turkish, khân. The Slavs, who had breached the Danube with the Avars, but who had little in the way of indigenous political organization, then came under the control of the Bulgars, the next nomadic group to pop off the end of the steppe. A related people, the Khazars , who remained on the Lower Volga, became long term Roman allies against the Bulgars.
Other related peoples, the Patzinaks and Cumans, followed the Bulgars off the steppe and into the Balkans, though not permanently south of the Danube. After the Cumans, the Mongols were the last steppe people to come into Europe. Through the Middle East, of course, the Turks (and the Mongols) came off the steppe and ultimately, permanently, into Azerbaijan, Anatolia, and Thrace.
Fans of Robert E. Howard's (1906-1936) classic pulp fiction character Conan the Barbarian, will find the name of the Bulgar Qaghan Krum somewhat familiar -- it is rather like Conan's own personal god, "Crom." Krum, indeed, seems very Conan-like. Not only was the Emperor Nicephorus killed in battle, but Krum took his skull and turned it into a drinking cup. This sounds like "barbarism" indeed -- though Lord Kitchener (1850-1916) may have had something similar in mind when he removed the body of the Sudanese Mahdi from his tomb, after taking Khartoum in 1898.
More recently, readers of Harry Potter and the Goblet of Fire [J.K. Rowling, Arthur A. Levine Books, Scholastic, Inc., 2000] will remember that the champion Bulgarian Quidditch player was none other than Viktor Krum.
What happened to the Bulgars was assimilation. The Patzinaks pushed them off the steppe, they began to speak the language of their Slavic subjects, and they began to aspire to the civilization, if not the throne, of Constantinople. The conversion of the Bulgars, indeed, was a complicated political act, with sophisticated negotiations that played the Popes off the Emperors. Greek influence ended up predominating, but the Bulgars continued jealous of their autonomy -- the precedent of an autocephalous Church set the pattern for other Orthodox Churches, as in Russia , created under Roman auspices. The Qaghan Boris
took the Christian name Michael (though both names would be used in the future), but retained a status comparable to the Roman Emperor.
The newly developed Cyrillic alphabet, based on the "glagolitic" alphabet invented for Moravia by Sts. Cyril (Constantine, 827-869) and Methodius (826-885), was used for the Slavic language of the new Bulgarian national Church. This language, Old Church Slavonic or Old Bulgarian, is the oldest attested Slavic language and retains features apparently ancestral of most modern Slavic languages -- although different texts also display influence (or emergent features) from the local languages, Czech, Bulgarian, and Serbian, in the areas where it was used. At right is the Cyrillic alphabet of Old Church Slavonic. I have used some letters in the modern form rather than with the more traditional appearance, which is more obviously Greek. Various modern Cyrillic alphabets, which can be examined under the treatment of the Slavic languages, often employ different selections of letters from the full original alphabet -- although there is the possibility that some letters were later contributed, again, by local languages, like Serbian (cf. S.C. Gardiner, Old Church Slavonic, Cambridge, 1984, 2008, pp. 13-14). It will be noted that this alphabet contains more dedicated palatalizing vowels than the modern languages that continue to use this device.
An interesting case is the way "u" is written. Old Church Slavonic writes the Greek digraph
.
We also see the ligature
for "iu," which affixes an "i" an drops the "y." This is the only such ligature still used in modern Cyrillic alphabets, despite the presence of no less than five of them in Old Church Cyrillic -- the available ligature
is replaced by
in Russian, Bulgarian, etc., although I imagine that the latter may be a modification of the former. Since the Greek digraph
is redundant, modern Cyrillic alphabets simply write "u" with
.
The signs
and
, which apparently were vowels in Old Church Slavonic, of uncertain quality (as the vocalization of Old Church Slavonic is disputed), have now either become markers of "solf" and "hard" consonsants, as in Russian, or have been dropped, as in Serbian. These are divergent strategies that both go back to Old Church Slavonic. We also get nasalized vowels in Old Church Slavonic,
and
, marked with tildes here (the IPA diacritic), but elsewhere with a subscript hook, as in Polish, where such nasals survive.
The first step merely left it leaderless, as John Tzimisces took Emperor Boris II off to Constantinople. A new state was organized in the west, however, by the sons of the Bulgar governor Count Nicholas. These "Sons of the Count," Cometopuli, eventually got an Emperor back after Boris and his brother Romanus escaped captivity. Boris was accidentally killed, so Romanus became the (largely figurehead) ruler. After Romanus died, the Cometopulus Samuel succeeded him. The Emperor Basil II, after humiliating defeat by the Bulgars in his youth, then smashed and annexed this state, with a ferocity that that might have made Krum (or Conan) proud. Samuel is supposed to have dropped dead when he saw that Basil had blinded all the survivors of the Bulgarian army (leaving every tenth man with one eye to lead the rest) -- although the later references to this are now often doubted. Bulgaria would not reemerge until the Asen brothers led it to independence in 1186. After the Turkish conquest, modern Bulgaria did not emerge until 1878.
Lists of Bulgarian rulers can be found in various Byzantine histories, but the genealogy here only comes from the Erzählende genealogische Stammtafeln zur europäischen Geschichte, Volume II, Part 2, Europäiche Kaiser-, Königs- und Fürstenhäuser II Nord-, Ost- und Südeuropa [Andreas Thiele, R. G. Fischer Verlag, Part 2, Second Edition, 1997, pp.156-159].
4. MACEDONIANS
Isaac I Comnenus
1057- 1059
The greatest dynasty of Middle Romania begins with the Empire still losing ground. Raids by the Arabs, Vikings, and now Magyars are giving all of Europe a very bad time. Only the 10th Century would see a gradual recovery, as Slavs, Norsemen, and Magyars all became settled and Christianized, though the Normans remained vigorous and aggressive in both North and South, i.e. conquering England and expelling Romania from Italy . Much of the good work of the Dynasty was accomplished by in-laws during the minority of the legitimate heirs, though the culmination came when one heir, Basil II, came of age and completed the conquests himself. Although traditionally called the "Macedonian" dynasty, Basil I was probably Armenian, like several of the other Emperors-by-marriage.
But, ironically, the dynasty may actually descend from Michael III rather than from Basil. Basil had been induced to marry Michael's mistress; and although the marriage continued even after Basil had overthrown Michael, the first children may still have been Michael's.
One of the most successful Emperor-Regent-in-laws, Nicephorus II Phocas, unintentionally played an important part in the history of Armenia. After reconquering Cilicia and Tarsus, in the Taurus and Anti-Taurus Mountains, and expelling the local Muslims in 965, Nicephorus encouraged Christians from Syria and Armenia to settle the area. Subsequently, when the Turks poured into Anatolia after the epic defeat at Manzikert in 1071, the Christians of the Taurus were relatively safe in the mountains, and the Turkish flood washed around them. This led to the creation of the durable Kingdom of Lesser Armenia (1080-1375). The Armenians of Lesser Armenia were then probably the Christians of the Middle East with the best relations with the Crusaders , including intermarriage. It is now not often noted, but Lesser Armenia became such a center of Armenian life at the time that the Armenian Patriarchate relocated there from Armenia. From 1058 to 1441, this was the only Armenian Patriarchate. Even the reestablishment of Patriarchs in Armenia did not interrupt the line of succession in Cilicia, which henceforth became know as the Great House of Cilicia . This succession continues to the present and even remained in the Taurus, long after the extinction of the Armenian Kingdom, until 1930, when the Patriarchs joined Armenian refugees in Lebanon , where they remain. In the years of the isolation of Soviet Armenia, the center of international Armenian life was this Patriarchate in Lebanon. This is now obscured by the independence of Armenia in 1991 and the emigration of many Armenians from the former Soviet Union into the West. Their culture, influenced by the corruption of Soviet life, and even their language (Eastern rather than Western Armenian), is distinct from that of the Lebanese Armenians who used to dominate, for instance, Armenian immigration to the United States.
In the early days of the dynasty we get a benchmark on the survival of Classical and later Greek literature. The Bibliotheca of the Patriarch of Constantinople Photius (858-867, 877-886) contains 280 reviews.
Even Edward Gibbon refers to this as "a living monument of erudition and criticism" [The Decline and Fall of the Roman Empire, Volume III, Modern Library, p.297]. It is not a catalogue of existing literature, or of a particular library, not even that of Photius, but a treatment of works familiar to Photius, apart from the mainstream of general education, that Photius is recommending to his brother Tarasius. Thus, popular authors like Homer, Plato, Aristotle, or the Greek playwrights (except for some lost plays of Aeschylus!) are missing from the list. Photius' treatment ranges from brief descriptions and evaluations to long summaries and discussions. Of the 386 works mentioned by Photius, 239 are theological. Nevertheless, only 43% of the text actually focuses on them. The majority of the text (in a book whose modern edition in Greek is 1600 pages long) is thus secular. For example, in addressing A History of Events After Alexander (in ten books) by the Roman historian Arrian of Nicomedia (an early member of the Second Sophistic ), we get a long summary of those very events , which are often obscure enough that every description helps. Although much of Arrian survives, and his Anabasis Alexandri is the best account of the campaigns of Alexander, all we have of A History of Events After Alexander is Photius' summary. We also have Arrian to thank for transcribing in the Encheiridion or "Handbook," the teachings of the Roman Stoic philosopher Epictetus, whose student he was. Our benchmark is that about half of the works mentioned by Photius, like the Events, are now lost. It is distressing to think of what survived, despite the Dark Ages, and then what later disasters may have cost us -- when the City was sacked by the Fourth Crusade and then the Ottomans (where we hear of bonfires of books, although this may be a slander). It is hard to imagine an undisturbed Constantinople being subsequently so careless with its literary heritage.
At no other Court of the age could visitors have found the nobility quoting Homer, as we see below. [cf. Photius, The Bibliotheca, A selection translated with notes by N.G. Wilson, Duckworth, London, 1994.] Photius, whose Bibliotheca was only part of his literary output, was a major political figure and himself was responsible for the mission of Sts. Cyril (Constantine, 827-869) and Methodius (826-885) to convert the Slavs.
The climax of Mediaeval Romania came with the Emperor Basil II Bulgaroctonus,
, "Bulgar Slayer" (Bulgarentöter in German). He also happened to be ruling at the turn of the first Millennium, which is of some interest as we have now seen the year 2000. Christendom had been having a bad time for several centuries, but things were looking up in 1000. After a long minority with in-laws ruling as co-regents, Basil defeated and captured an entire Bulgarian army in 1014. He blinded every prisoner, except for one eye left to every tenth man, so they could lead their fellows home. The Tsar Samuel is supposed to have dropped dead when he beheld the mutilated men returning. There is no contemporary record of this mass blinding, and its historicity is now often questioned. Whether anything quite like this happened or not, however, Bulgaria only lasted four more years before being annexed.
Meanwhile, the Varangians had created a powerful state at Kiev ; and, as the "Rus," their name came to be attached to it -- giving us
in Greek, "Russia" in Latin. The alternation of war and trade that had characterized Roman relations with the Varangians, and which led to sharp defeats of Russia by John Tzimisces, took a greater turn toward friendship in Basil's day with the conversion of St. Vladimir to Christianity (989). Part of this process involved the marriage of Basil's sister Anna to Vladimir, and the provision by Russia of mercenaries for what now became the Emperor's "Varangian Guard."
The Guard became the loyal shock troops and Life Guard of the Emperor, and are usually identifiable in historical accounts, even if not named as such, by their description as
, pelekophóroi (pelekyphóroi in Attic Greek), "axe bearers," from the single bladed axe (
, pélekys), with a handle up to six feet long, that they carried as their primary weapon (seen in the image at right from the history of John Scylitzes, c.1057). There also seems to have been some identification of this weapon with the fasces carried by the Lictors of the Roman Republic . Indeed, the appearance of the great axes on the battlefield came to signal the personal presence of the Emperor (although Varangians at first were often detailed to fight with other forces, as in Italy).
After the formation of the Varangian Guard, it quickly no longer became a matter of mercenaries provided by Russia. The fame of the unit spread quickly, and soon individual recruits were arriving , not just from Russia (and now of Slavic and not just Varangian origin), and not just from the immediate source of Russian Varangians, Sweden, but from as far away as Norway, Denmark, and even Iceland -- all the Norse lands, which by this point had converted to Christianity. Since all these places were outside the limits of Classical geography, we find Anna Comnena characterizing all the Varangians, including the English ones, as from "Thule,"
. This was conformable to ideas in geographers like Strabo, who refers to "Thule, the most northerly of the Britannic Islands," "six days sail north of Britain," although he expressed some skepticism about its existence. Thus, Gibbon speaks of "the British island of Thule," which now sounds very odd [The Decline and Fall of the Roman Empire, Volume III, Modern Library, p.368]. "Six days sail north of Britain," however, which was the formula of the Greek explorer Pytheas, might very well get us from Britain to Norway.
The Norse recruits included the very interesting Harald Hardråde (or Haraldr Sigurðarson, Haraldr Harðráði), the subsequent King of Norway who would die in 1066 at Stamford Bridge , while invading England. The deeds of Harald and others would be recounted in the Icelandic Sagas, often written much later with fabulous or fanciful additions, but with sufficient detail to pin down their historical origins. Also, numerous rune stones have been found in Sweden, often at churches for the now Christian Swedes, that stand as cenotaphs or commemorative monuments to men who left for Romania (Grikland, Kirkium, etc., "Greece") and never came back. Some were installed before leaving by the men themselves. Some, of course, may have been for traders rather than members of the Varangian Guard, but a few mention deaths fighting in Serkland, i.e. Islamic lands (where the "Saracens" are), or in
Lakbarþland, i.e. Langobardia, " Italy ." In time, the Norse recruits apparently obtained their own church in Constantinople, at least in part dedicated to St. Olaf (or Olof, Olav) of Norway, Harald's brother, perhaps enshrining a sword that was supposed to have been his. Indeed, the 15-year-old Harald was present at the battle of Stiklestad in 1030, where Olaf was killed -- with reports of miracles immediately following. Harald fled with 500 retainers all the way to Constantinople, perhaps carrying such a relic of Olaf that could have been enshrined in the church. In King Harald's Saga, we have Olaf appearing in visions to help Harald; and the Norse church is said to have been constructed on the spot of such a vision [cf. The Varangians of Byzantium by Sigfús Blöndal and Benedikt S. Benedikz, Cambridge University Press, 1978, 1981, 2007; Snorri Sturluson, King Harald's Saga, Penguin, 1966, 2005, p.61].
While a companion of Hardråde eventually settled in Iceland, we also have the account of a native Icelander, Bolli Bollason (or Bollasson), as recounted in the Laxdaela Saga. Bollason's sojourn in Romania was quite early, in the 1020's, and he is said to be the first West Norseman in the Varangian Guard. When he returned home, fitted out with a red cape and gold trim on his weapons, reportedly, "Wherever he went, women paid heed to nothing but gazing at Bolli and his grandeur" [Peter Frankopan, The First Crusde, The Call from the East, Belknap Press, Harvard University Press, 2012, p.28], by which he became known as "Bolli the Elegant."
It is noteworthy that while the legend and the romance of the Vikings is still a part of popular culture (I was entranced by The Vikings [1958], which I saw at Holloman Air Force Base in 1962), and most people retain an image of Viking barbarians fighting, looting, slaughtering, drinking, and raping (this is romance?), such awareness promply shuts down when the Norsemen convert to Christianity. Presumably, they stop the looting and raping, and the reaction, as from Hollywood, is "You're no fun anymore!" (except for a movie like Ingmar Bergman's Virgin Spring [1960]). But even as Christians, many Swedes, Danes, Norwegians, and Icelanders were still looking for a good fight; and to find it they traveled to the greatest and most famous Christian monarch: The Emperor of the Romans. Since they kept doing that for centuries, the word of mouth about their experiences must have been positive. It was a good fight, if not always a successful one.
The map shows Romania in 1000 AD, at the Millennium, with the height of Middle Romanian power rapidly approaching. The extent of Bulgaria is open to question. Some sources say it stretched to the Black Sea. Whatever, it will soon be erased.
Having experienced the Millennium of the year 2000 in our day, we have the movie, End of Days (Universal, 1999), with Arnold Schwarzenegger personally battling Satan, who is said to be released every thousand years (a somewhat loose reading of the Book of Revelation). This would mean that a similar difficulty occurred in 999, as well as 1999. Arnold wasn't around then, but Basil II was -- not only a great warrior but an Emperor who maintained a monk-like celibacy, and who was seen by most Christians as the principal defender of Christendom, as the Emperors had been since Constantine. Somebody missed a bet for a good movie, or at least a flashback, about that -- End of Days itself could have had a flashback explaining how Satan was easily thwarted in 999 by the undiminished wisdom, strength, and preparedness of Basil, Pope Sylvester II (this was before the Schism), and the Patriarch Sergius II of Constantinople.
The monks of the "Holy Mountain," Hágion Óros, Mt. Áthôs, could be brought into any story of the Millennium. The Great Laura Monastery, the first of many in this most sacred place, the Mt. Hiei,
, of Orthodox Christianity, had recently been built (961-963) by St. Athanasius. Tradition holds with some earlier foundations, and several small hermitages, as well as individual hermits in caves and elsewhere, certainly had been there for some time; but the Great Laura is the first for which there is contemporary historical documentation.
Áthôs is the most north-eastern of three peninsulas that extend out into the Aegean Sea from the larger peninsula of the Chalcidice. There are still 20 active monasteries on the Mountain, with a number of smaller settlements and institutions. The road from the mainland ends at Uranopolis (or Ouranoupoli, one now usually sees spellings that reflect modern Greek pronunciation --
I have Latinized many of the names, but the spelling of the monasteries especially reflects this trend). From there one (men only) must take a boat down to Daphne. From Daphne a road, recently built, goes up to Caryes (Karyes, Karyai), the town that is the administrative center of the Mountain, on the land of the Koutloumousiou Monastery. Although most Greek churches operate under the authority of the autocephalous Greek Orthodox Church, Mt. Áthôs is still under the direct jurisdiction of the Patriarch of Constantinople , i.e. the "Ecumenical" Patriarch in Istanbul. Over the years, monasteries were founded, not just by Greeks, but by Georgians , Serbs, Bulgarians, Russians, and even Italians. The Italians are now gone (there being the Schism and all), but there are also (modern) Romanians present, though they do not have their own monastery. Mt. Áthôs thus unites all the Orthodox Churches who share the theology of Constantinople. The mysticism of the theology of Mt. Áthôs contrasts with the humanism of Mistra -- this is discussed elsewhere in relation to the Renaissance .
Sadly, the great triumph of Romania was short-lived. The last Emperors of the Dynasty, all by marriage, squandered the strength of the State, debased the coinage, and neglected the thematic forces that had been the military foundation of Romania for four hundred years -- in part by now ignoring, as Basil II had not, the alienation of the land of thematic soldiers to large landowners who did not have the same military obligations. This was a kind of creeping feudalism, which Romania had previously avoided. Full feudalism has quashed, ironically, because of the Turkish conquest. What was left of the Army, the Imperial guards of professionals and mercenaries, could not be relied upon in all circumstances, as Machiavelli would have warned, especially after the finances of the state were messed up. Before things had gone that far, however, we see that the attempt of Michael V, at the death of his uncle (?) Michael IV, to depose the Empress Zoë provoked a popular revolt. This included the Varangian Guard, which may have actually been commanded at the time by Harald Hardråde (1042). According to King Harald's Saga, Harald led the Guard to seize and blind Michael (whom it confuses with his successor, Constantine IX). This personal loyalty to Zoë, and her sister Theodora, was the best tribute to the faltering Macedonian dynasty.
Most symbolically, the breach between the Eastern and Western Churches in 1054 was the one that became permanent and henceforth separated the One Holy Roman Catholic and Apostolic Church into the Pope's Latin Church , usually called "Roman Catholic," and the Patriarch of Constantinople's Greek Church , traditionally called "Greek Orthodox" -- along with the other autocephalous "Orthodox" Churches (Russian, Bulgarian, Serbian, Romanian, etc.). There had been similar estrangements earlier, which had always been patched up without much in the way of hard feelings. This was the expectation at the time; and the handling of the matter was so casual that later, when it became apparent that the breach was becoming permanent, the original documents could not even be found. The estrangement in religion came at a very bad time. When the Turks invaded Anatolia and the Crusading forces arrived from Francia , the Schism was a source of constant irritation and mistrust. It provided some rationalization for the seizure of Constantinople by the Fourth Crusade ; and later, when the Churches were apparently reconciled by the Palaeologi , it left most Greeks so disaffected that their support for their own government was compromised. Thus, for centuries, Christian forces were divided and weakened in the continuing confrontation with Islâm.
Here we see the confusion over the paternity of Leo VI. The greatest controversy of Leo's reign, however, was over his own marriages. He disliked his first wife, from an arranged marriage. She and their daughter died in the early years of his reign. He was then able to marry his long time mistress, Zoë. After delivering their daughter Anna, however, who would later marry Louis of Burgundy , Zoë soon died. This created a problem. Unlike Henry VIII , whose problem was that he wanted divorces, Leo's problem was that in the Greek Orthodox Church second marriages, even after the death of a spouse, were discouraged and third marriages strongely condemned. While theoretically there was no provision for raison d'état, we can imagine the overriding need to provide an Heir for the Dynasty. The Patriarch, successor to Leo's own brother Stephen , granted a dispensation. His new wife, Eudocia, then died in childbirth, followed shortly by the infant son.
Now Leo really had a problem. St. Basil had said that fourth marriages were the equivalent of polygamy, "a practice bestial and wholly alien to humankind." Leo therefore took a mistress, Zoë Carbonopsina (
, Zoë of the " Coal Black Eyes"), who then in 905 gave birth to a son, destined to be Constantine VII -- ironically the Porphyrogenitus,
, Porphyrogénnêtos, "Born in the Purple" (I love this in German -- der Purpurgeborene), who nevertheless had been born a bastard. The Patriarch, now Nicholas I Mysticus, refused to baptize the boy unless Zoë was expelled from the Palace. She was. But Constantine was still a bastard, so Leo brought Zoë back and got a priest to marry them and legitimize the Heir. The result was considerable furor. Leo cleverly played the Photian and Ignatian factions of the Greek Church off each other and meanwhile appealed to Pope Sergius III . The Latin Church had no problem with serial marriages, just with divorce. So, in 907, with Sergius' belessing, Leo deposed Patriarch Nicholas (who would subsequently be restored), and installed Euthymius I, who was persuaded to agree with the Papal ruling (more or less). Thus, where Henry VIII broke with the Pope ( Clement VII ), and abolished the whole Church of Rome in England, in pursuit of a male heir, Leo's own pursuit was consummated by the timely help of the Pope, when the Greek and Latin halves were still One Roman Catholic Church (Una Romana Catholica Ecclesia), against the Patriarch. Leo did not long outlive the controversy.
Subsequently, in the minorities of Constantine VII, Basil II, and Constantine VIII, we see multiple reigns from Imperial in-laws. Romanus I almost derailed the dynasty; but John I and Nicephorus II were extremely vigorous and successful in retrieving Romanian fortunes and territory, progress finally to be sealed by the adult Basil. This great Basil, however, had remained celibate and irresponsibly failed to provide for the future of the family -- so unlike Charles II of England, who not only arranged key marriages for his nieces, Mary and Ann, but had ironically, as a Catholic sympathizer himself, required that they be raised and married Protestant, thereby securing a Protestant succession in Britain after the inevitable disaster of his foolish Catholic brother James II. This may have been Basil's greatest failing as a ruler. After the death of Constantine VIII, only Theodora and Zoë, whom Basil had allowed to become nuns, remained of the Dynasty. Zoë endured three marriages to provide male sovereigns. These in-laws were as bad for the Empire as the earlier ones had been good. After the death of Constantine Monomachus, whom Zoë predeceased, Theodora briefly reigned alone at the end of the line. Note the marriage of Maria Argyropoulaina to a son of the Doge of Venice. This was arranged by Basil II well before the marriage of Romanus III Argyrus to Zoë. Maria is supposed to have introduced the fork to Venice when arriving there with Giovanni in 1004 or 1005 [cf. Judith Herrin, "Venice and the Fork," Byzantium, The Surprising Life of a Medieval Empire, Princeton & Oxford, 2007, pp.203-205].
The genealogy of the Macedonians is supplemented here with an abbreviated tree showing the major foreign marriages of the Dynasty. The marriage of Constantine VII to the daughter of Hugh of Arles is shown above, but there are four other marriages noted here.
Two of them are not attested by all sources. Leo VI did have a daughter Anna (by his second wife), and marrying her to Hugh's predecessor in Burgundy, while his son married Hugh's daughter, produces a reasonable reciprocity; but marrying a true Porphyrogenita (still Porphyrogénnêtos -- in Greek a compound, although feminine, retains the second declension ending, -os, otherwise used for masculines -- a scruple not observed in Latin), a "Born in the Purple" Princess, to a barbarian king (which is what Louis III would have seemed to most), is something that some sources say was inconceivable, which is why all that the Emperor Otto II got was merely the niece of an Imperial in-law, John Tzimisces. Theophano was no Porphyrogenita (though some sources can be found referring to her as John's own daughter, or even as a daughter of Romanus II). Constantine VII himself asserted that a Porphyrogenita could not be married to a foreign prince -- although he then made an exception for the Franks. The most significant exception, however, would be St. Vladimir , who certainty did marry the Porphyrogenita sister, Anna, of Basil II and Constantine VIII. Since this attended the conversion of Russia to Christianity (989), with the material contribution of Russian (Varangian) troops to the Roman Army, it could well have been thought worth the price.
, chmshkik, "red boot," which sounds like an epithet that John might have picked up, perhaps as a child (like Caligula's "little boot"). This is also transcribed as chmushkik, although there is no "u" (
, the digraph, like Greek
, that we see in Gurgen) written there in Armenian, which otherwise may be using a vocalic "m." In any case, there is no good evidence or certainty about this identification or its meaning. It remains one of the more curious names found among the Emperors of Romania. But John's given name is also noteworthy.
As I have commented above , actual Christian Biblical names have been relatively rare among Christian Roman Emperors, with the Macedonians as no exception.. This is especially striking with the name "John,"
(Iôánnês, Latin Johannes), which is a supremely Chistian Biblical name but previously here has only occurred with a usurper in the 5th century . Until recently in the United States and Britain, "John" and "Mary" were the most common given names. But here, beginning with Tzimisces and some Michaels (
), Biblical names start becoming more common. There will eventually be eight Johns and Michaels each, with the occasional Thomas,
, Isaac,
, and David,
, with some names less familiar in English, like Manuel,
(from Emmanuel, in Greek and Spanish, a name for the Messiah, i.e. Jesus). We may think of George,
, as a Christian name, but it only became so because of St. George,
, whom I discuss below , and it was never the name of in Emperor in Constantinople -- although, like Peter,
, not unusual elsewhere, as we shall see.
The final marriage here is the potentially the most interesting but also somewhat problematic. Brian Tompsett's Royal and Noble Genealogy gives a sister "Irene" for the Empresses Zoë and Theodora, who is said to have married Vsevolod of Kiev , grandson (by an earlier marriage) of St. Vladimir [still listed this way as of June 2011]. I have not seen a single Macedonian genealogy that lists such an "Irene." This is of great interest because their son,
, Vladimir II Monomakh, was the grandfather of Ingeborg of Novgorod, who married (1118) Knut Lavard Eriksson, the father of King Valdemar the Great of Denmark (1157-1182). Through the intermarriages of the subsequent royalty of Denmark, we get connections to many of the rulers of Europe. Thus, it is sometimes said that Queen Elizabeth II of England is a descendant of the Emperor Basil I. But that would only be true if Irene really was a Macedonian.
Other sources have a slightly different claim. The Royal Families of Medieval Scandinavia, Flanders, and Kiev, by Rupert Alen and Anna Marie Dahlquist [Kings River Publications, Kingsburg, CA, 1997], says that Irene (or Irina) was "a daughter of Constantine IX Monomach" [p.160]. That is a lot different. Constantine was the Empress Zoë's third husband. She was already 64 when they married, so there is not much chance that Irene was her child, but Constantine was a widower (twice), and it is not surprising that he would have previous children, although Byzantine histories don't seem to bother addressing the issue. Vladimir II is called
, "Monomakh," which thus sounds like a tribute to his Roman grandfather.
Constantine IX's parentage for Irene is confirmed by the Erzählende genealogische Stammtafeln zur europäischen Geschichte, Volume II, Part 2, Europäiche Kaiser-, Königs- und Fürstenhäuser II Nord-, Ost- und Südeuropa [Andreas Thiele, R. G. Fischer Verlag, Part 2, Second Edition, 1997, p.81] and Volume III, Europäiche Kaiser-, Königs- und Fürstenhäuser, Ergänzungsband [Andreas Thiele, R. G. Fischer Verlag, Second Edition, 2001, p.218]. This gives us a much more reasonable picture. It does mean that Queen Elizabeth is not a descendant of Basil I (or Michael III, whatever); but she is a descendant of Constantine IX Monomachus, as can be seen on this popup . The genealogy also shows the descent of Elizabeth from Harold II of England, who was killed by the Normans at the Battle of Hastings in 1066. Harold's daughter Gytha, has it happens, married Vladimir Monomakh.
Pages at Wikipedia give the wife of Vsevolod and the mother of Vladimir Monomakh as an "Anastasia (
) of Byzantium," with the gloss that her parentage with Constantine IX "is not attested in any reliable primary source." I do not see the name "Anastasia" in any of my print references, as discussed above. Also, while I am not familiar with the primary sources for these issues (and the matter does not seem to be clearly addressed in the Greek histories), I am curious what the difference would be between a "reliable primary source" and whatever other primary sources would have addressed the marriages of Vsevolod. However, if Irene/Anastasia was not the daughter of Constantine IX, my fundamental questions would then be (1) who such a person would have been to have come from Byzantium to marry the son of a Prince of Kiev, and (2) how her son would then (coincidentally?) end up with the name or epithet "Monomakh" (
,
)? This would all be exceedingly curious, to say the least. What makes the most sense at this point is that Constantine IX was Vladimir II's grandfather, with the marriage of Vsevolod arranged in 1046, after the attack on Constantinople in 1043, by Yaroslav I the Wise of Kiev (1019-1054).
This Russian attack in 1043 is a matter of some interest. It may have been coincidence, opportunism, or coordination that it coincides with the revolt of George Maniaces in the same year. It was pressed forward despite the death of Maniaces from a wound and the end of his revolt. Rejecting an offer to buy off the attack, Monomachus set the Roman fleet to engage the Russians. With the help of Greek Fire, the Russian fleet was routed. This may be the last example of a decisive victory by the Roman Navy before, later in the century, the fleets of the Italian cities begin to dominate the Mediterranean and replace the Romans. The sequel of the battle is obscure, but we can speculate that the marriage of Constantine's daughter was part of the restoration of the previous good relations with the Russians. Harald Hardråde was still in the Varangian Guard in 1043, and we might even imagine him participating in the battle. King Harald's Saga, with some confusion of reigns and dates, has Harald escaping from Constatinople after kidnapping an otherwise unattested niece, Maria, of the Empress Zoë. A Viking kidnapping and carrying off a princess would not be so remarkable, but we are then told that before crossing the Black Sea, Harald dropped her off with a guard to escort her back to Constantinople. This makes me wonder. Could such a strange story reflect the circumstance that Harald himself escorted Irene/Anastasia to Kiev between 1044-1046? He arrived back in Norway to claim the throne in 1047. An escort job would thus nicely coincide with the period of his transit home. All this would dramatically tie together the events of a striking naval battle in the Bosporus (1043), the marriage of Vsevelod to a Roman princess (1046), and the fateful reign of Harald in Norway (1047-1066),
culminating in the events (1066) that precipitate the entry of Englishmen into the Varangian Guard. I recommend this story to Hollywood, which has often featured Istanbul in its movies but never Constantinople. Nothing like Roman ships, "dromonds,"
, galleys with lateen sails, throwing flames on Viking longboats has ever been seen on film -- as I expect that Hollywood film-makers are entirely ignorant of the historical circumstances where that would have happened [ note ].
, "No blame" [or "It were no shame," Twelve Byzantine Emperors, Penguin, 1966, p.185]. This was a quotation from a line in the Iliad (3:156), where the Trojan elders see Helen come out on the wall and say to themselves:
"Small blame that Trojans and well-greaved Achaeans should for such a woman long time suffer woes; wondrously like is she to the immortal goddesses to look upon." [3:156-158, Loeb Classical Library, A.T. Murray translation, Harvard, 1924, 1988, p.129]
Maria was sharp enough to note the whispered comment, but she had to ask about its meaning. For us, it reveals the education of the Constantinopolitan Court, in perhaps the only city in Europe in the 11th century where Homer was going to be read and taught.
The potential for ongoing confusion over the genealogy of the Macedonians is evident in The Varangians of Byzantium by Blöndal and Benedikz [ op.cit. ]. Thus, they say:
In June [1043], when a large fleet under the command of Vladimir (Monomakh), son of Jaroslav, assailed the City, the Byzantines met it in the Bosphorus and defeated the combined force of Russians and Scandinavians, largely thanks to the use of Greek fire. [p.104]
This seems to confuse the eldest son of Yaroslav the Wise, Vladimir (sometimes even "II"), who died in 1052, with Vladimir II Monomakh, the grandson of Yaroslav and Constantine IX. The statement in its own terms is peculiar in the use of an epithet, "Monomakh," that echoes that of the Roman Emperor, in the name of a Russian leading an attack on that very Emperor. This is unlikely on its face -- or that someone named after the Emperor would already be old enough to have such a command (Vladimir Monomakh was born in 1053). Instead, it is more reasonable that the marriage that produces Vladimir Monomakh was the result of the peace that followed the defeat of the Russian attack. Blöndal and Benedikz do not try to explain the anomalies that their identification generates.
A very brief non-dynastic interlude concludes the period. Isaac I was the first of the Comneni and can be found on the genealogy of the Comneni below .
Era of Diocletian 776-1170, 394 years
And therefore I have sailed the seas and come
To the holy city of Byzantium.
William Butler Yeats (1865-1939), "Sailing to Byzantium"
Romania, furthermore, is a very wide land with rugged, stony mountains. It extends south to Antioch and is bounded by Turkey on the east. All of it was formerly under Greek rule, but the Turks now possess a great part of it and, after expelling the Greeks, have destroyed another part of it. In the places where the Greeks still hold fortresses, they do not pay taxes. Such are the servile conditions in which the Greeks hold the land which French strength liberated when the Franks conquered Jerusalem.
Odo de Deuil, La Croisade de Louis VII, roi de France, Volume IV, edited by Henri Waquet, Documents relatifs à l'histoire des croisades, Volume 3, Paul Guethner, Paris, 1949, pp.54-55, translated by James Brundage, The Crusades: A Documentary History, Marquette University Press, 1962, pp.111-112
Then followed a scene of massacre and pillage: on every hand the Greeks were cut down, their horses, palfreys, mules, and other possessions snatched as booty. So great was the number of killed and wounded that no man could count them. A great part of the Greek nobles had fled towards the gate of Blachernae; but by this time it was past six o'clock, and our men had grown weary of fighting and slaughtering. The troops began to assemble in a great square inside Constantinople. Then, convinced that it would take them at least a month to subdue the whole city, with its great churches and palaces, and the people inside it, they decided to settle down near the walls and towers they had already captured....
Our troops, all utterly worn out and weary, rested quietly that night. But the Emperor [ Alexius V ] Murzuphlus did not rest; instead, he assembled his forces and said he was going to attack the Franks . However, he did not do as he had announced, but rode along certain streets as far away as possible from those occupied by our army, till he came to a gate called the Golden Gate through which he escaped, and so left the city.
Geoffroy de Villehardouin (d.1218), "The Conquest of Constantinople," Chronicles of the Crusades, Penguin, 1963, p.91
Then out spake brave Horatius,
The Captain of the Gate:
"To every man upon this earth
Death cometh soon or late.
And how can man die better
Than facing fearful odds,
For the ashes of his fathers,
And the temples of his gods"
Thomas Babington Macaulay, Lays of Ancient Rome, "Horatius [at the Bridge]," 1891, XXVII
Let's go, men, against these barbarians!
The Emperor Constantine XI Dragases , his last words, the Fifth Military Gate of Constantinople, May 29, 1453; Greek Text, Laonikos Chalkokondyles, The Histories, Volume II, Translated by Anthony Kaldellis, Dumbarton Oaks Medieval Library, Harvard University Press, 2014, p.192
"Then we must go higher. We must go to him whose office is to put down tyrants and give life to dying kingdoms. We must call on the Emperor."
"There is no Emperor."
"No Emperor..." began Merlin , and then his voice died away. He sat still for some minutes wrestling with a world which he had never envisaged."
C.S. Lewis, That Hideous Strength, 1945, Scribner, 2003, p.290
The "Fourth Empire" begins with a blow, from an Islâm reinvigorated by the Turks, which represents not only a further diminution of the Empire, but a portent of the actual collapse and end of the Empire altogether. The catastrophic defeat at Manzikert alienated much of what had for long been the heartland of the Empire, Anatolia. It was a mortal wound, never to be made good; but the Empire nevertheless twice managed to struggle back up into at least local ascendancy, first under the Comneni and then under the Palaeologi. The Comneni had help, of a very dangerous sort, in the form of the Crusaders . Defeat by the Turks was not the cruelest cut of the period. That was when the Crusaders, manipulated by Venice , took Constantinople in 1204. With the Latins, the Empire fragmented into multiple Greek and non-Greek contenders: Nicaea, Epirus, Trebizond, Bulgaria, and Serbia, not to mention the Turks . While the Palaeologi, building on the success of Nicaea, reestablished Greek rule, only Epirus of the other successor states came back under Imperial control. The Empire of Michael VIII did seem to have a chance, but a new Turkish state, of the Ottomans , soon surged into dominance. It took more than a century for the Ottomans to scoop up all the spoils, but, like a slow motion car crash, the outcome has a horrible inevitability.
Rome and Romania Index
A. THE ADVENT OF THE TURKS, 1059-1185, 126 years
1060 AD -- Romanian territory is intact, but the military and financial foundations of Roman power have been undermined. The coinage is debased for the first time since Constantine. Resources have been wasted absorbing Armenia, and the forces of the Armenian themes have been disbanded. Local Islamic states are no threat, but the Seljuks are on the way.
1. DUCASES
Botaniates
1078-1081
The Ducases had the misfortune of suffering the most catastrophic defeat of Roman arms since the Arabs won Palestine and Syria at Yarmuk in 636: The defeat by the Seljuk Turks at Manzikert in 1071, a battle lost more to treachery than to military superiority. And Romanus IV Diogenes became the only Roman Emperor besides Valerian to be captured in battle by an external enemy. Romanus was luckier than Valerian, in that he was treated with dignity and even kindness by the Sultân Alp Arlsan , and even released; but he was unlucky, as the Sultân himself ruefully appreciated, that he would return to a situation where he had already been deposed as Emperor. Defeated by the forces of the Caesar John Ducas, uncle of the new Emperor, Michael VII, Romanus (a mere in-law) eventually surrendered on terms of civil treatment -- but nevertheless died when the Caesar soon ordered him blinded. The picture of the respectful consideration of the Turk and the ferocious brutality of the Romans leaves an impression, like the earlier treatment of the Goths , both sorrowful and bitter.
While there is no reason to doubt the sincerity of Alp Arlsan's Islâm, his Court and that of his successor,
Malik Shâh, under the influence of their great Vizir, Nizâm al-Mulk, displays an intellectual power and cosmopolitan expansiveness that is well represented by the mathematician, astronomer, and poet 'Umar Khayyâm (d.1122). Is the Rubaiyat cynical or merely worldly? It is hard to say. Whatever it is, one wonders to what extent some attitude of the sort can be discerned in the behavior of the Sultân. Nevertheless, it is something that passes quickly. The greatest philosopher of the era, and one of the greatest philosophers of the Middle Ages, al-Ghazâlî (1058-1111), nevertheless fiercely attacked and effectively snuffed out the tradition of Greek philosophy in the Central Islâmic lands. Thus, the damage was done to Romania, but intellectually Islâm itself was now headed into decline.
What had hitherto been the heartland of Romania in Anatolia, now became a bleeding wound to Turkish conquest, never to be recovered. Simultaneously, the Normans won, for all time, the last Roman city in Italy -- Bari. In 31 years (1040-1071), Romania had been finally expelled from Italy, 535 years after Belisarius had landed against the Ostrogoths.
But from now on, we find that dynasties are identified by surname -- Ducas,
, Comnenus,
, Lascaris,
, and Palaeologus,
. Even Epirus and Trebizond are ruled by Ducases and Comneni, respectively. Within the dynasties, we find as in-laws the names Vatatzes,
, among the Lascarids, and Cantacuzenus,
, among the Palaeologi. The origin of the names is various, with Ducas itself from the Latin rank of dux ( q.v. ), used in Greek as
. Some of these names we see today, not the least of which being the feminine surname become a given name,
, "Angelina." Cantacuzenus turns up among the Phanariot Princes of România . Monomach,
, which means "fighting in single combat," has the look of a sobriquet; but, born by Constantine IX, it is unlikely to have been earned by him personally. So it appears to be his surname, earned by an ancestor, as it will be born by his Russian grandson .
The Ducas genealogy is given both here and below with the Comneni . The marriages of Constantine, the son of Michael VII, and his second wife, Anna Comnena, are of particular interest. The intermarriage of the Ducases with the Normans of Italy might have made for some political differences -- had the young bride, Helen, lived.
By about the time of Manzikert, there were interesting new recruits to the Varangian Guard. Where Harald Hardråde had failed to conquer England in 1066, William the Conqueror , within days of the Norwegian defeat, would succeed at Hastings. The Norman Conquest spelled the dispossession of the native Saxon nobility, who then began to seek their fortunes elsewhere . Many of them consequently were drawn to the Varangian Guard. Having lost England to Normans/Vikings, Englishmen served the Empire that had withstood them. They would continue to do so for more than three centuries -- the first reference to Englishmen in the service of Romania was in 1080, the last in 1404 -- 324 years.
Indeed, now we see references that 4350 English emigrants in 235 ships arrived at Constantinople in 1075 [Chronicon universale anonymi Laudunensis], or that the English arrived in 350 ships and were in part settled in a Nova Anglia, a "New England" far from Plymouth Rock [according to the Icelandic Jarvardar Saga].
According to Geoffroy de Villehardouin, there were still "Englishmen and Danes" defending Constantinople when the Fourth Crusade arrived in 1203. After the Greek recovery of the City by the Palaeologi in 1261, we have some indication that the surviving Varangian Guard may have been entirely English. In 1272 Michael VIII Palaeologus wrote a letter mentioning the Englishmen in his service, now called the
, Egklinováraggoi (sing.
, Egklinováraggos -- Enklinobarangi in Latin, sing. Enklinobarangus) [cf. Sigfús Blöndal and Benedikt S. Benedikz, op.cit., p.172]. Like the Norsemen, the English Varangians seem to have had their own church in Constantinople, dedicated to Saints Nicholas and Augustine of Canterbury (the Apostle to the English). Under subsequent Palaeologi, however, they fade from history.
One might wonder, however, why go all the way to Constantinople? Was the Varangian Guard really that big a deal? Well, part of the problem for a sort of European Ronin (masterless warrior in a feudal system) is that, in the absence of cash economies, nobody was hiring mercenaries. If Englishmen wanted to be hired to fight after 1066, they needed to go to where there was a paid, professional military. In Christian Europe, that was still only in Constantinople -- still only the Tagmata. A noteworthy exception to this was in the South of Italy , where a cash economy existed, mainly because of its inclusion in the economic sphere of Romania. Cities like Naples had conducted trade with Constantinople both during their time as Roman possessions, after being recovered from the Ostrogoths, and then as they slowly drifted out of the control of Constantinople. They also conducted trade with Islâmic states, especially after the Aghlabids had conquered Sicily. This often scandalized other Christians. But it was even worse when they began to hire Muslim mercenaries. An Englishman, of course, might belong to the Varangian Guard but be fighting in Southern Italy nevertheless. There they would have met other mercenaries with whom they were not likely to have friendly relations: Normans who had come from Normandy looking for their own fortunes. The Norman mercenaries in Roman service had gone over to local rebels in 1040. When the English arrived, they found themselves actively fighting kinsmen of their old enemies, in Italy, Epirus, and Greece. These Normans were able to expel the Romans from Italy, recover Sicily from Islam, and then create a united Kingdom of Naples and Sicily . This resulted in the economic decline of the South Italian commercial cities. As the trade they had pioneered moved North, other Italian cities became wealthy enough to hire their own mercenaries. These become the famous mercenary Condottiere of the Renaissance.
According to a recently released book, The Varangian Guard, 988-1453, by Raffaele D'Amato [Men-at-Arms, Osprey Publishing, Oxford, UK, & Long Island City, NY, 2010]:
...in Dobroudja [on the Black Sea], a short-lived Anglo-Saxon settlement called by the Varangians 'Nova Anglia' was created at the end of the 11th century... The chronicler Ordericus Vitalis recorded that 'the English were much distressed by their loss of liberty... A number of them, with the fresh bloom of youth upon them, went to distant lands.' [p.13]
D'Amato says that one of the English exiles in Romania was "the pretender Edward Atheling" [p.13]. I do not know who this would be. There does not seem to be such a person as listed in the genealogies of either the Erzählende genealogische Stammtafeln zur europäischen Geschichte, Volume II, Part 1, Europäiche Kaiser-, Königs- und Fürstenhäuser I Westeuropa [Andreas Thiele, R. G. Fischer Verlag, Third Edition, 2001, p.264] or the The Mammoth Book of British Kings and Queens [Mike Ashley, Carroll & Graf Publishers, Inc., New York, 1998, 1999, p.468, 491-498]. We find "Edward the Exile" and "Edgar the Atheling", but no "Edward Atheling." Edward the Exile was sent into exile, hopefully to his death, by Canute. He didn't die and did spend time at the Hungarian Court (where he married the daughter, Agathe, of King St. Stephen I ). Recalled by Edward the Confessor, he was murdered, perhaps by partisans of Harold Godwinsson, and then his young son Edgar was made Heir Apparent. That was in 1057, so Edward could not have gone into exile after 1066. Too young to rule, Edgar was pushed aside by Harold in 1066. After Harold's death, Edgar was proclaimed King but then in short order surrendered to William. Edgar is the best candidate for exile in Romania, but that does not seem to be what happened. He was the obvious Pretender to the English Throne and spent many years at the Scottish Court (where King Malcolm married Edgar's sister Margaret) and elsewhere, stirring up trouble for the Normans. Eventually, he was pardoned by King Henry I and spent his remaining years, in increasing obscurity, on an English estate. However, according to the Mammoth Book [p.498], Edgar did go on Crusade in 1099. This may have involved some contact with Romania and so may be the source for D'Amato's (confused) reference.
The long history of the English Varangians, as with the original and continuing Norse Varangians, accompanies the long decline of Romania. As declines go, 400 years is not what anyone would think of as abrupt or precipitous, but it was continuing and unreversed. The Varangian role has its melancholy aspect, as the Scandinavians and English are unable to prevent that decline, and as local Roman sources of wealth and manpower obviously undergo progressive decay in effectiveness. But there also is an aspect to it of great romance and nobility. In the last centuries of the Roman Empire, essential help came through the interest and devotion of individual foreign warriors, both from the most distant of old Roman possessions, Britain, and from peoples and lands, in the North, that had really been off the map and beyond the knowledge of Augustus, Trajan, or even Justinian. It is the sort of thing for which there really should be some small monuments in London, Oslo, Stockholm, or Copenhagen, in tribute to their countrymen who took the long trip to fight in the defense of Constantinople, over so many years. Yet, with the history of participation in the Varangian Guard largely forgotten, and the whole existence and history of "Byzantium" so generally ignored or despised, it is not clear who would have the interest to build such monuments and to commemorate such measures of devotion to the last Emperors in successon to Augustus and Constantine, and to what for long was still the greatest City of Christendom. It is a pity.
As noted above, before the time of the English Varangians, relations of their Norman conquerors had themselves briefly served the Emperor Michael IV. Two of the original
de Hauteville brothers from Normandy were in a group of 300 Normans under George Maniaces in Italy in 1037-1038. The eldest de Hauteville brother, William, earns his sobriquet "Iron Arm" by defeating the Amir of Syracuse in single combat in 1037. The disaffection and defection of the Normans, and their transformation of one of the Lombard revolts (1040), such as Romania had previously been able to defeat, would then drive Romania out of Italy by 1071, spelling the final alienation of Italy, retrieved by Belisarius in 536, from Constantinople (after 535 years) -- but then it also led to the recovery of Sicily from Islam (1061-1091), specifically from the Zirid Amirs of Tunisia, and the reunion of all Southern Italy into one Kingdom (1130). This brought the South of Italy into the history of Francia for the first time -- in the 13th century, under the German Emperor Frederick II , it could even be said to briefly be the center of that history, as Frederick made Palermo his capital.
Catastrophe. The heartland of the Empire in Anatolia is completely overrun. Italy is lost to the Normans, forever. Only the Balkan European possessions, secured not long before, enable Romania to endure and recover, somewhat -- with the dangerous help of the Crusaders. Armenians, recently settled in Cilicia, are surrounded, although this will be the origin of the Kingdom of Lesser Armenia that will endure until 1375. The triumphant Normans meanwhile have invaded Sicily, which they will permanently recover from Islam.
2. SELJUK SULT.ÂNS OF RÛM
Süleyman I ibn Qutalmïsh
Deposed by Mongols , 1307
The first Turkish and Moslem state in Anatolia ironically began against the wishes,
virtually in rebellion against, the Seljuk Great Sult.ân Malik Shâh (1073-1092), who was even negotiating with Alexius Comnenus for the withdrawal of the Turks from the region and whose troops actually killed Süleyman I. However, even the Great Sult.ân was finally in no position to force such a withdrawal, Roman resistance was so weak that Süleyman had no difficulty establishing his capital at Nicaea, and all help from the Sejuks ended with the death of Malik Shâh. The best that Alexius could do was to recover Nicomedia and hold on to it. Meanwhile, even western cities like Ephesus were falling. The Sult.âns then styled themselves the rulers of Rûm , i.e. "Romania."
This list is from Clifford Edmund Bosworth's The New Islamic Dynasties [Edinburgh University Press, 1996].
While this is the traditional understanding of the role of Süleyman, a very different interpretation is now offered by Peter Frankopan [The First Crusde, The Call from the East, Belknap Press, Harvard University Press, 2012]. In these terms, Süleyman was the ally of Alexius Comnenus who maintained the Roman position in Asia Minor and was the duly appointed governor, not the conqueror, of Nicaea. This explains some other puzzling aspects of the reign of Alexius, which is where the Turkish mercenaries came from that he used against the Normans in the Balkans, and why the Roman position in Anatolia seemed to suddenly collapse in the early 1090's (after the death of Malik Shâh), when everyone assumed that it had already collapsed after Manzikert, before Alexius even came to the throne. Süleyman was killed, not by forces loyal to Malik Shâh, but by the very rebels that he, Alexius, and Malik Shâh were all attempting to suppress. Süleyman was even upbraided by his enemies for disloyalty to Islâm.
While this thesis explains a lot, it leaves a number of things on the table. The role of Süleyman and the presence of the rebels, who were troubling to all, does mean that there is a substantial Turkish presence in Anatolia after Manzikert, so the traditional picture of many Turks overrunning the area cannot be entirely abandoned. That Alexius was able to form alliances with Turkish forces, including the Seljuk Sult.ân himself and now perhaps Süleyman also, bespeaks a clever strategic and diplomatic accommodation to the situation, which maintained the Roman position for some years; but it also means that with the removal of Alexius's allies, that position could collapse quickly. Süleyman's own son, Kilij Arslan, had been kept hostage by Malik Shâh (either against the good behavior of Süleyman or, perhaps more likely, because of the non-cooperative attitude of Kilij Arslan himself). With the death of the Sult.ân, he escaped and made his way to Nicaea, to assume the authority of his father, but this time independently of both Emperor and Sult.ân -- his later treaty with Alexius did not mean any compromise to the independence of Rûm that had now been established. The rapid collapse of Anatolian Romania thus testifies to the leverage that the Turkish presence in Anatolia had already created. Without help, Alexius could hold little beyond Nicomedia in the whole area -- although some Christian towns were still holding out when the Crusaders arrived, most dramatically and durably with the Armenians in Cilicia , where the domain outlasted the Sultanate of Rûm itself. Frankopan explains that the traditional picture of Roman collapse in Anatolia was due to Anna Comnena, who wanted to make it look like the losses in the regions were due to the predecessors of Alexius and were not events of his own reign.
The Turkish position was secure until defeat by the First Crusade in 1097. Then Alexius was able to recover the western cities. The Turks fell back on Iconium (Konya), which became their capital for the rest of the history of the Sultanate of Rûm. Although sacked by Frederick Barbarosa on the Third Crusade (1190), Konya was lost forever to Romania. The Sultanate already, however, seemed to have lost its edge. The devastating defeat of Manuel Comnenus at Myriocephalum (1176) was not followed up, and the subsequent decline of Romania was mainly from internal weakening and fragmentation (readying it for the Fourth Crusade). The Sultanate was then defeated by the Mongols in 1243 and spent the rest of its history in vassalage. The final fall, in 1307, coincided with a very fragmented, but vigorous, period of new Turkish states -- the Oghullar ,
, or "sons" of Rûm.
Osmanli Oghullarï
Part of his vigor may have resulted from an influx of refugees from the Mongols. The Beys of Aydïn captured Ephesus in 1304, but the most serious portent for the future was the capture of Prusa (Bursa) in 1326 by the Ottomans . This quickly spelled the end of Romania in Asia, and by 1354 the Ottomans had a foothold in Europe. Only Tamerlane delayed the ultimate Ottoman conquest.
A curious feature of the relationship of Constantinople to the Sult.âns of Rûm was its often cordial and almost friendly tone. Alexius Comnenus employed Turkish mercenaries and once, when he happened to capture the harîm of the Sult.ân, he promptly returned the women with his apologies. As I have noted, this sort of relationship to the Turks may have begun with in the early days with Süleyman I. To the Crusaders, these dealings with the Infidel were surest proof of Greek duplicity and treachery. What was going on, however, is illuminated by a comment of Kenneth W. Harl [in his video lectures, The World of Byzantium, for The Teaching Company, 2001] and by the description of Byzantine strategy and diplomacy in The Grand Strategy of the Byzantine Empire, by Edward N. Luttwak [Belknap, Harvard University Press, 2009]. Harl's comment was that Alexius saw the Turks as a new Bulgaria, which could be Christianized, domesticated, and then absorbed into the Empire, just as Bulgaria had been. This is consistent with the strategy described by Luttwak, one of whose key points was that the Empire did not aim at the extermination of its enemies, as the Rome of Trajan might have done. This was (1) too difficult and exhausting given the reduced power of Romania, (2) dangeorus when a battle could be lost as well as won, with hell to pay, and (3) futile when the elimination of one enemy would simply open the door for the next enemy in the queue, who is liable to be more aggressive and more alien than the previous one.
Thus, while Anatolia had not been overrun in quite the same way before, the Balkans had. Over centuries, the inundation of the Slavs, Avars, and Bulgars had gradually been overcome and absorbed, with decisive military action only at the end. Premature attempts in that form, as in the days of Nicephorus I , had been disasters. And there was nothing new about the Turks. Romania had found good allies in the Turkish Khazars for three centuries, and we have seen Emperors marry Khazar women. Alexius knew that the Empire was in a bad way, but that had happened before. All it would take was patience.
And Alexius would have some reason for hope. There had been Turkish converts to Christianity, even groups of them, who had come over to the Empire. After the First Crusade had driven the Seljuks back from their high water mark, the borders began to settle and they did not seem to pose the same kind of threat. Diplomacy and familiarity could begin to work their magic. Unfortunately, there were some features of the situation that told against the traditional strategy. The Turks were, indeed, recent converts to Islâm, but nevertheless this already gave them the sort of sophisticated religious system that the Slavs and Bulgars had not possessed. Christianity did not represent sophistication and civilization in comparison to Islâm as it had to the others. Also, religious influence continued to arrive from the central Islâmic lands, while Christian proslytizing was not tolerated.
Roman and Christian culture thus had less of a chance of domesticating the Turkish threat. Indeed, the Bulgars themselves had not been entirely assimilated and were not regarded as "Romans" either by the Romans or by themselves. The potential for Bulgarian revival was great and would eventually come to pass . Most importantly, there were subsequent waves of Turkish immigration, reinvigorating the Turkish presence. The Mongols were bumping more Turks off the steppe just as the Huns had originally bumped inconvenient numbers of Germans into the Empire centuries earlier. But the Turks were both too strong and too weak. The Seljuks of Rûm were complacent enough that they took no real advantage of Manuel's defeat at Myriocelphum (a premature Roman push), but then they were staggered and subjugated by the Mongol defeat in 1243. This meant that the new waves of arriving Turks ended up creating new, vigorous states, the Oghullar, with whom domestication would need to start all over again, instead of being absorbed into a durable and familiar state of Rûm. Figures like John Cantacuzenus did try to start over again, even intermarrying with the Ottomans , but by then the situation of the Empire was so diminished (with the Bulgars, Vlachs, and Serbs going their own way), and that of the Turks so enhanced (still driven by undiminished Islâmic Jihâd), that there was little chance left for things to go over time as they had with the Bulgars. Instead, it was the Turks who tamed and absorbed Romania.
3. COMNENI
Isaac Comnenus
Emperor on Cyprus , 1185-1191
With the Turks at Nicaea (whether friendly or hostile, as discussed above ), the Normans ready to land in the west, the currency debased, the army dispersed, and the treasury empty, Alexius Comnenus had his job cut out for him. The results were satisfactory enough, but a couple of the desperate measures that the desperate times called for would have unfortunate long term consequences. The trade privileges given to Venice in 1082 eventually made Roman trade, and even the Navy, the plaything of Italian city states. Calling on the West for military aid against the Turks had the very unexpected result of Pope Urban II calling in 1095 for a "Crusade" to liberate the Holy Land and Jerusalem from Islâm.
It is usually said that Alexius wrote a letter to the Pope asking for aid and that this inspired Urban to call for the Crusade. We also have a letter that Alexius is supposed to have written to Count Robert II of Flanders , whose father, Robert I, had recently (1089) been on pilgrmage to Jerusalem and evidently developed a relationship with Alexius on the way. Historians have been suspicious of the received text of the letter to Robert, but the problem may be the good Latin of the letter and its reference to losses to the Turks in Anatolia. Since the letter apparently dates from around 1093, the losses, which were thought to have occurred earlier, sound anachronistic. However, Peter Frankopan has recently argued that the situation in Anatolia actually did not deteriorate badly until that point, so that there is no anachronism in the letter [The First Crusade, The Call from the East, Belknap Press, Harvard University Press, 2012, p.60] -- its Latin would just be a function of competent translators in Constantinople. As it happened, Alexius developed a better relationship with Robert II than with most of the Crusaders on the First Crusade. Robert I had already sent Alexius 500 Flemish knights, who fought in Anatolia and in the Balkans for the Emperor. When the Robert II passed through Constantinople on the way home from Jerusalem, Alexius bestowed on him a relic that was supposed to be an arm of St. George. This special relationship between Constantinople and Flanders foreshadows, sadly, the later election of Count Baldwin IX of Flanders as Latin Emperor after the Fourth Crusade takes the City in 1204 -- "sadly" because the friendship with Alexius was replaced by the hostile conquest of his descendants, the Angeli, while the tenure and the fate of the Flemish in Constantinople was not edifying.
Most of the Crusaders passing through Constantinople gave Alexius a very bad feeling. The possibility of what actually happened a century later, when the Fourth Crusade took Constantinople, was already very real. So Alexius bundled them as quickly as possible into Asia, where they defeated the Turks, making it possible to drive them out of western Anatolia together. This was of great material help to Romania, but the Turks remained based at Iconium (Konya). The Roman Army (with the thematic apparatus long gone) was never up to the task of dislodging them entirely. That this could have been done was revealed when Frederick Barbarosa , passing through on the Third Crusade, broke into Konya and sacked it (1190). That he died shortly thereafter steals the thunder from this act, but it is noteworthy. Meanwhile, the greatest military successes of the Comneni, by Manuel I, when his suzerainty was acknowledged by Lesser Armenia, Antioch, and even Jerusalem, were undone by a devastating defeat in 1176 at Myriocephalum ("Ten Thousands Heads"). Shortly thereafter Serbia breaks away, beginning a process of disintegration that would never be entirely reversed.
The Englishmen in the Varangian Guard of Alexius I were not entirely able to escape their Norman nemesis. At the battle of Dyrrhachium in 1082, where Normans from Sicily under Robert Guisgard de Hauteville were trying to establish a beachhead in what is now Albania, a promising start turned into a rout of the Roman army, with many of the English Varangians, who had advanced impetuously beyond the rest of the army, slaughtered by the Normans. Nevertheless, despite this painful setback, and some others, Alexius finally was able to win the war and, with the help of the Venetians and even Seljuks, eject the Normans. The death of Guisgard in 1085 ended the threat, as the Normans otherwise concentrated on recovering Sicily from Islam -- though there was no love lost when Guisgard's son Bohemond passed through Constantinople on the First Crusade (he then became the first Prince of Antioch , violating an agreement to return the city to Romania).
According to Raffaele D'Amato [op.cit., p.10], after the defeat of Manuel I at Myriocephalum in 1176 and considerable losses there to the Varangians, some English Varangians went home with a letter from the Emperor to King Henry II of England, saying, "We have also felt it a pleasure that it so happened that some of the chief men of your nobility were with us, who will, at your desire, inform you on all the circumstances [of the battle]." One thing this record demonstrates is that English recruits to the Guard were no longer merely dispossessed Saxons. Some "chief men" of Henry's own Norman nobility were drawn to the Guard. Indeed, there is direct evidence of this in a letter that St. Anslem (d.1109), of all people, wrote to a young Norman knight named William who was thinking of joining the Guard. His brother had already done so, and Anslem wanted William to become a monk. There is even a report that a "recuitment bureau" existed in London for the Guard [cf. Peter Frankopan, op.cit., p.87, reference to "Les Sceaux byzantins de Londres" by J.C. Cheynet, 2003]. We may reflect that even if William did join the Guard, he could not have lived long enough to have been at Myriocephalum, but he might have known Alexius I.
This is why the tradition went on for centuries, long after 1066. Anthony Kaldellis says that the letter to Henry II is "a source has has been underutilized by modern historians" [Ethnography After Antiquity, Foreign Lands and Peoples in Byzantine Literature, University of Pennsylvania Press, 2013, p.29]. Indeed, multiple standard Byzantine histories do not even mention it. Even better, we hear about the letter from a contemporary, Gerald of Wales, who recounts how King Henry responded to Manuel's inquiries "about the geographical conditions, way of life, and things worth seeing in the island of Britain" [ibid.]. Gerald apparently contributed information about Wales to the response. Asking about "things worth seeing" seems like a much more Modern, rather than Mediaeval, sort of curiosity.
Norse recruits to the Varangian Guard continued as Alexius entertained Scandinavian monarchs on Crusade or pilgrimage, particularly the Kings Eric I the Evergood of Denmark and Sigurð I the Crusader of Norway . Alexius at first distrusted Eric, as he did all the Crusaders, and had him camp outside Constantinople. We are told, however, that his spies reported Eric urging the Danish Varangians to serve the Emperor faithfully. Eric was then invited into the City and honored -- at least according to the Norse sources. Unfortunately, the pious King never made it to Jerusalem but died and was buried on Cyprus. Alexius is remembered in the Icelandic Sagas as Kirjalax, evidently from Kyrios Alexios, "Lord Alexius." The name was also used, confusingly, for subsequent Comneni. The positive reputation of Alexius in Scandinavia thus stands in noteworthy contrast to what it became in Latin Western Europe, where the conflicts of the First Crusade resulted in a smear campaign against Alexius on behalf of some of the Crusaders, particularly Bohemond of Antioch, who wanted to put his own machinations in the best light. Bohemond was successful in that and became widely regarded as the principle hero of the First Crusade, even though he had dropped out and failed to accompany the Crusaders to the capture of Jerusalem. A remarkable, if ironic, public relations triumph.
On April 5, 1106, an event of serious ill omen occurred. The statue of Constantine I that had stood on a porphyry column in his Forum since the founding of the City, fell off in a storm. We have an account of this from The Patria description of Constantinople, associated with the appearance of a comet, which was also considered a thing of ill omen:
This statue fell from the column and caused the death of the men and women who happened to be there, about ten in number, on the fifth of April of the fourteenth indiction, in the year [ Anno Mundi ] 6614 (1106), the twentieth year of the reign of the lord Alexios Komnenos... About the third hour, it became dark and a violent southern wind blew fiercely, for a comet, which is called the Spear, had caused this turbulence of the air. It appeared in the evening of the Friday of the first week, on the ninth of February of the fourteenth indiction, in the year 6614, and then stayed. [Accounts of Medieval Constantinople, The Patria, translated by Albercht Berger, Dumbarton Oaks Medieval Library, Harvard University Press, 2013, p.27]
Apparently, no attempt was ever made to restore or replace the statue, and the fate of its remains is unknown. The column stands until today, now with iron brands around it, and with the appearance of having been once burned, which is now the name by which it is known -- the "Burnt Column." The loss of his central monument of the City even now has a ring of downfall to it, although the city will endure, in reduced circumstances, for another three and a half centuries.
In Manuel I's day, in 1153, we also get recruits to the Varangian Guard from the Crusading force of the Earl of Orkney . Raffaele D'Amato says [op.cit. p.14] that the Earl, coming by sea, had six of his 15 ships split off at Gibraltar and go to Constantinople. D'Amato does not say which Earl of Orkney this was. That is a problem, since there were two Earls, cousins Ragnald III (1137-1158) and Harald II the Old (1139-1206), ruling simultaneously. I suspect that the Earl in question was Ragnald III, since we find Ragnald's more closely related cousin, Erlend III, becoming Earl in 1154 (1154-1156). This looks like something that would happen while Ragnald was away on Crusade.
This speculation is confirmed by The Mammoth Book of British Kings & Queen [op.cit., pp.453-455], where Erlend III took advantage of Ragnald III's absence on Crusade to usurp his domain, with the permission of King Eystein III of Norway (the suzerain of Orkney at the time). Harald II withstood this move, but when Eystein III bestowed the entire County on Erlend, because Harald had been appointed by Ragnald without Royal permission, Erlend was able to eject Harald. Ragnald then returned from Crusade in 1155; and he and Harald combined forces to defeat and kill Erlend. The Mammoth Book does not mention any of Ragnald's men joining the Varangian Guard; but it does say that, returning from Palestine, Ragnald wintered in Constantinople, visiting the Emperor Manuel. If D'Amato is right, that six of Ragnald's ships left at Gibraltar to join the Guard, it does not sound like there would have been much hard feeling, for the Earl to be a guest of Manuel later on.
Most of it was written after she was banished to a convent by her brother, John II, whom she apparently had tried to assassinate. This particularly intense form of sibling rivalry was in part the result of Anna's expectation that she would be closer to the seat of power, i.e. that the Emperor would be her husband. The birth of John spoiled this, and Anna, perhaps a feminist before her time, never accepted the wisdom of his succession. She blamed him for subsequent disasters; but, since the Alexiad doesn't cover his reign, she never quite says what these disasters were. The real disaster, Myriocephalum, happened after her death to her nephew, Manuel I. One reference to the Alexiad that I remember from childhood, that Anna says her father didn't trust the Crusaders because they didn't have beards and smelled of horses, I have been unable to find in the text. I was long under the impression that the Alexiad made Anna the first woman historian. She certainly has that honor in the West. However, I now discover that there was an earlier woman historian in China. Pan Chao completed the great History of the Former Han Dynasty after her brother, Pan Ku, was executed, leaving the work incomplete. This was during the Later Han Dynasty , a thousand years before Anna. Since Pan Chao's other brother, Pan Ch'ao, commissioned an embassy to Rome in 97 AD, unfortunately unsuccessful, we do have a tenuous historial link between the two women.
From the few and questionable foreign marriages of the Macedonians , with the Comneni we find a large number of well attested ones, many with Crusaders but one making connections as distant as Spain. I was aware of few of these until a correspondent, Ann Ferland, began to point them out. The marriage of Maria of Montpellier, whose mother was Eudocia Comnena, to King Peter II of Aragon led to all subsequent Kings of Aragon and of Spain . A great deal of European Royalty, right down to the present, thus would be descendants of Alexius I Comnenus.
The presence of the Venetians and the web of foreign marriages both attest to closer ties and increasing traffic, and not just of Crusaders, between Constantinople and the West. For instance, the Emperor Manuel (1143-1180) made a gift of a copy of Ptolemy's Almagest to King William I (1154-1166) of Naples and Sicily. This apparently was conveyed on a diplomatic mission by Henricus Aristippus (d.c.1162), who saw to the translation of the work, while he himself tried his hand at translating the Meno and Phaedo. The manuscript of the Almagest was inherited by Charles of Anjou , who then donated his library to the Papacy in 1266. The modern Vatican Library was not founded until 1475, and previous collections were often dispersed. Thus, the manuscript of the Almagest subsequently ended up in the Biblioteca Marciana in Venice. While interest in Greek and in doing translations may not be too surprising in the South of Italy, we see the first signs of it further north. Thus, James of Venice (c.1130/70) and Burgundio of Pisa (c.1110-1193) acquired manuscripts, traveled to Constantinople, and began turning out translations. This is still 300 years before the Renaissance proper, when such activities went into high gear, with much greater interest, Greek refugees, and the aid of the printing press. People like Burgundio and their pioneering efforts thus tend to be forgotten, but the later work probably owes them a debt that is now hard to estimate.
4. LESSER ARMENIA
Mamlûks , 1375
The Kingdom of Armenia in the Taurus Mountains of Cilicia is called "Lesser" Armenia in contrast to the "Greater Armenia" of the Armenian homeland to the northeast. After Nicephorus II Phocas recovered the area from the Arabs in 965 and ordered all Moslems to leave, Christians from Syria and Armenia were encouraged to settle and garrison the land. Nicephorus himself even welcomed "schismatic," Armenian Orthodox Monophysites from Armenia,
but this tolerance would not always continue and some friction was inevitable between many Armenians and the Imperial (the, strictly speaking, "Roman Catholic") Church. After the Seljuk breakthrough, more Armenians fled from the east, bringing the Patriarch with them, as the Turks overran Anatolia. The Armenians in the Taurus found themselves on their own and began organizing their own domains. When the Crusaders passed through, they were welcomed and aided. A daughter of Constantine I was married to Joscelin I , Count of Edessa, ushering in a long history of association and intermarriage between the Armenians and the Crusader states. Indeed, Armenian nobility were the only group in the Levant that the Crusaders seemed to regard as equals and whom they married on equal terms. The Armenians began to adopt Frankish customs, including feudal law, dress, and knighthood. This made Lesser Armenia rather like a Crusader State itself, and so it is shown on the map. The urge to adopt the Latin Rite in the Armenian Church, and to seek union with Rome, was promoted by the Armenian Monarchy but fiercely resisted by the Church and the populace.
The history of Lesser Armenia puts to shame the antipathy in "liberal" opinion against the Crusades. The Armenians, surrounded and repeatedly attacked (until today) by militant Islâm, expose the hypocrisy of the anachronistic and tendentious characterization, by naive fools or vicious Lefists , of the Crusades as "imperialism," while Islamic Conquest, whether in the 7th century, the 11th, the 15th, or any other time, is itself ignored, rationalized, or excused. This is a living and crucial issue in our own day of Islamic Terrorism , when the Left has in effect joined forces with Mediaeval savagery in Iran , Iraq, Lebanon, Afghanistan, or Gaza -- and now Egypt and Libya -- in the Marxist cause of attacking capitalism and liberal democracy. Christians are under renewed attack in the Middle East, especially in Iraq and Egypt; but the "liberal" press, which never worries much about the murder of Christians or Jews by Muslims, continues to ignore such developments.
This list of kings is mainly based on M. Chahin, The Kingdom of Armenia [Dorset Press, New York, 1987, 1991]. However, Steven Runciman, in his A History of the Crusades, Volume III, The Kingdom of Acre and the Later Crusades [Cambridge, 1951, 1987], gives a more complete family tree, abstracted below. Runciman, maddeningly (but characteristically), gives not a single date; but he does give a number of figures who account for the numbering of the Constantines and Thoroses in the dynasty. According to Chahin's list, these were not reigning kings, but, even if not, they were numbered as members of the dynasty. Or they may have been co-regents unrecognized by Chahin. On the other hand, Constantine IV and V are not listed by Runciman in the dynastic tree because they were both usurpers. "Peter of Cyprus" listed by Chahin is Peter I of Cyprus. Constantine V offered him the throne but then decided to keep it for himself when Peter was assassinated. This information is supplemented by Warren Threadgold's A History of the Byzantine State and Society [Stanford, 1997]. Chahin fails to mention, for instance, the capture of Leon I and his sons (including Thoros II) by the Emperor John II Comnenus. On the other hand, while Runciman and Chahin agree that the early Rupenids were "princes," without a royal title until 1198, Threadgold says that they began calling themselves "kings" in 1099. Since none of them give the actual terms they were using, perhaps just in Armenian, it is hard to know why there is this disagreement.
Of greatest interest in the genealogy is when the house of Lesser Armenia makes reciprocal marriages with the Lusignan dynasty of Cyprus. This begins with the children of Leon III and Hugh III of Cyprus. Two sons and three daughters of Leon III married children of Hugh III. The result is that the succession of Lesser Armenia actually passes to to Lusignan. Such a close connection might have protected the Armenians, if Cyprus had been enough of a power to resist the Mamlûks, which, at least on land, it was not.
The Kingdom of Lesser Armenia was the last independent Armenian state until the former Soviet Republic of Armenia became independent in 1991.
As Armenians had relocated to Cilicia, so did the Patriarch of Armenia (in 1062). This line continued even after the fall of the Kingdom in 1375. In 1441, however, a new Patriarch was elected in Armenia. Sometimes it is said that the Patriarchate moved back to Armenia; but this is not true, since Patriarch Gregory IX (1439-1446) remained where he was, as Giragos (1441-1443) was installed in Armenia. The Cilician line continued, as it does down to the present, as the Great House of Cilicia . It relocated to Lebanon in 1930 because of continued attacks on Armenians in Turkey. As noted above, the Kings of Lesser Armenia promoted union with Rome, which was otherwise very unpopular. Six pro-Latin Patriarchs were assassinated; but there was still an Armenian delegation that accepted the union of the Churches at the Council of Florence in 1439. Eventually a Schism resulted, and in 1737 a line of Catholic Patriarchs began. By 1749, these Patriarchs were already seated in Lebanon, where the Maronite Church was already in communion with Rome.
Historic Armenia Index
The Empire has recovered as much as it is ever going to, and actually seems in relatively good shape, with deference all the way from Jerusalem to Hungary. But the heartland of the Themes is long gone. The Sultânate of Rûm is a nut that cannot be cracked -- the true seed of doom for Romania. And Roman trade and shipping is now dominated by Venice, just one of the states of Francia that now rivals or surpasses Romania in economic development. What had always been the key to Roman success, control of the sea , which had previously been lost at times to the Vandals and the Arabs, now is lost forever to Italian states.
B. THE LATIN EMPIRE, 1185-1261, 76 years
1. ANGELI
d.1204
Constantinope falls to Fourth Crusade, 1204
The worst and most disastrous dynasty in Roman history. Alexius IV brings in the Fourth Crusade, with impossible promises, to restore his incompetent father, and only succeeds in losing Constantinople to a foreign enemy for the first time ever. This may qualify as the true "Fall of Rome." The damage was bad enough, with many treasures and archives destroyed or carted off to Venice. Unlike the Goths at Rome in 410, the Crusaders stuck around for 60 years, with steadily decreasing success.
As on the eve of the advent of the Goths in the 4th century , a massive earthquake affected the region in 1202 on the eve of the Fourth Crusade. This was centered in Galilee and the damage was principally inflicted through Syria and Palestine, which would only indirectly have affected Romania. However, the earthquake was so large (perhaps a 7.6 or greater) that Anatolia was also affected, while the effects of a tsunami could have extended into the Aegean. It is thus difficult to say how this might have damaged the strength of Romania when faced with the arrival of the Crusaders. Of course, one might think that damage to the resources of the Islamic states in the Levant would have made this an idea moment for the Crusaders to arrive there, but the Venetian plan against Constantinople had already seized the agency of the Crusade.
In 1195, Isaac II, or the new Emperor Alexius III, sent three Varangians on a mission to Scandinavia to seek recruits for the Varangian Guard -- this is revealing when previously Danish and Norwegian monarchs had themselves come to Constantinople. We are told that Hreiðarr sendimaðr (i.e. "the Messenger") went to Norway (to King Sverre), Pétr illska went to Denmark (to King Canute VI the Pious), and Sigurðr grikker ("the Greek") Oddsson went to Sweden (to Knut I or Sverker II). Hreiðarr had the toughest time that we know of, since Sverre, anticipating war, had no warriors to spare. Allowed to recruit among farmers and merchants, it is not clear that Hreiðarr, who became embroiled in local events, ever returned to Constantinople. On the other hand, Pétr may have returned with the actual Danes who were subsequently observed by Geoffroy de Villehardouin in 1203. There are many stories about Sigurðr Oddsson, but it is not clear whether his mission was successful. Since there are references to Englishmen but not to Scandinavians in the Varangian Guard of the Palaeologi , this may be last the time when Norse warriors actively traveled to Constantinople [cf. Blöndal and Benedikz, op.cit. , pp.218-222].
Alexius III, having fled the Crusaders who installed Alexius IV and restored Isaac II, takes up residence at Mosynopolis in Thrace. Alexius V Mourtzouphlos, part of the popular reaction again the Crusaders and their friends, Alexius IV and Isaac II, conducted the last defense of the City but then fled. He sought refuge with Alexius III, who was, after all, his father-in-law, but who, however, had him blinded and expelled. Captured by some French Knights and returned to Constantinople, Mourtzouphlos was thrown to his death from the Column of Theodosius. Alexius III ultimately tries to get the Turks to defeat the Lascarids and install him at Nicaea. Unfortunately, Theodore Lascaris personally killed the Sultân of Rûm in single combat. Alexius is captured, blinded, and sent to a monastery. He dies, forgotten, some time after 1211.
The Angeli continue the foreign marriages of the Comneni. One is particularly noteworthy. Irene Angelina,
, daughter of the Isaac II, married a son of Frederick Barbarossa, Philip of Swabia , who contended with Otto of Brunswick for the German Empire. They had no sons; but the marriages of their four daughters are among the most interesting in European history. In a reconciliation
of Philip's feud, the oldest daughter, Beatrice, married Otto himself. But they had no children. The younger daughters, Kunigunde, Marie, and Elizabeth, married King Wenceslas I of Bohemia , Duke Henry III of Lower Lorraine and Brabant , and King & St. Ferdinand III of Castile and Leon , respectively. All of these marriages produced children with living modern descendants, especially among the Hapsburgs and the royal family of Spain, as can be traced at the linked genealogies. Since Isaac himself was a great-grandson of Alexius I Comnenus, this means that a large part of modern European royalty, through this connection alone, have been descendants of the Angeli and Comneni. My impression is that Roman Imperial descent for recent royalty has often been claimed through the Macedonians, but the only certain line, as we have seen , may be from Macedonian in-laws.
On the other hand, descent from the Comneni and Angeli appears to be well attested and with multiple lines. Another fruitful line will be from Maria Lascarina,
, who married Bela IV of Hungary . Since the Lascarids themselves derive from Anna Angelina,
, daughter of Alexius III, and Maria's mother, that connects up to the whole Comneni-Angeli house. Maria's son, Stephen V of Hungary, had a daughter, Katalin, who married the Serbian King Stephen Dragutin, who had a daughter the married a Bosnian Ban , with many descendants. This line all the way to the Hapsburgs can be examined on a popup .
2. BULGARIA, ASENS
1279-1284?, d.<1302
Asens replaced by Terters
In 1204, the Pope recognized Kalojan as "King of the Bulgarians and the Vlachs" (Geoffroy de Villehardouin, calling him "Johanitza," even says "King of Wallachia and Bulgaria").
Indeed, the Asen brothers, founders of the dynasty, were themselves Vlachs, i.e. modern Romanians . This is therefore not a purely ethnic Bulgarian state. It also came close to succeeding to the throne in Constantinople, though later overpowered by the Mongols , Serbia and, of course, the Ottomans .
The principal setback to the Bulgarian state was the Mongol invasion of 1242, which itself was almost an afterthought as the Mongols abandoned the conquests of Poland and Hungary in 1241 and were returning to Russia. The Chingnizids needed to go to Mongolia to elect a new Great Khan . What followed for Bulgaria was a period of internal conflict, between members of the Asen dynasty and outsiders. Two unrelated usurpers, Constantine Tich and Ivaljo, figure in the table above. Another unrelated figure, however, Ivan Mytzes, becomes an Asen in-law and the father of the last Asen Emperor, John III. This is a confused period, with pretenders contending and dates uncertain. John III fled to the Mongols and then to Constantinople. He was succeeded in Bulgaria by his erstwhile minister, George Terter.
The list of Bulgarian rulers is from various Byzantine sources, including the only source of the genealogy here, which is the Erzählende genealogische Stammtafeln zur europäischen Geschichte, Volume II, Part 2, Europäiche Kaiser-, Königs- und Fürstenhäuser II Nord-, Ost- und Südeuropa [Andreas Thiele, R. G. Fischer Verlag, Part 2, Second Edition, 1997, pp.160-162].
Although John III lost Bulgaria, his descendants figured in affairs in Constantinople for some time. Since his granddaughter married the Emperor John VI Cantacuzenus, whose daughter Helena married the Emperor John V, all the subsequent Palaeologi are his descendants.
3. LATIN EMPERORS AT CONSTANTINOPLE
Baldwin I of Flanders
Philip III
titular Emperor 1364-1373
While the conquest and sack of Constantinople have rightly been regarded as one of the worst cases of vandalism and betrayal in world history, a stab in the back against the state and the civilization that had been the repository and guardian of Classical, Western, and Christian culture during most of the Middle Ages, and an insult by Latin and Frankish Western Europe against the Greek and Orthodox East, one thing must be admitted: This was not what the Crusaders had in mind. It wasn't their idea or their intention. The whole project had been initiated by the future Alexius IV Angelus, looking to restore his father, cooked up in detail by Venice , and then conducted from beginning to end by the Doge Enrico Dandolo. The betrayal it represents, then, was of a more intimate character, since Venice was in origin, culture, and tradition one of Romania's own.
In the most attenuated sense, it was still a de jure possession of Constantinople. The Crusaders, who thought that getting to Outremer by sea would be easier than marching overland, did not reckon on the scale of demands for payment by Venice, or on the cynical manipulations that would follow. Pope Innocent III wasn't too happy about it either, and the Crusaders earned excommunication for fighting Christians, for Venice, rather than Moslems, for Christendom. However they got to Constantinople, of course, they still didn't need to sack the City. We can blame them for that. In the end, of course, the blame doesn't matter -- and some of it should be shared by Alexius IV anyway. The damage was done. There would be hell to pay, and several modern conflicts in the Balkans and between Turkey and her neighbors are arguably still the result.
Nevertheless, the demonology of blame has some modern significance. If Venice is ignored and significant spleen directed at the Crusaders, there may be a particular reason for this, derived from a sort of anachronistic hostility that is directed at the Crusades in general: Where we see them condemned as imperialism, euro-centrism, racism, xenophobia , or the oppression of the Third World -- terms that would have been incomprehensible to anyone in the 13th century -- something is going on that owes little to history and much to modern ideology. To Islamic Fascism , its enemies are always "Crusaders," whether or not they are even Christians. To the Leftist sympathizers of Islamic Fascism, the Crusaders are simply viewed through the prism of their own Marxism and "anti-imperialist" Leninism . The effect also exemplifies moralistic relativism , with the Islamic Conquest of the Middle East itself ignored, complacently accepted, or approved, while any counter-attacks to that Conquest, which is what the Crusades were, are viewed with furious moral indignation.
The double standard is blatant and shameless -- its very incoherence is not even an embarrassment to the post-modern deconstructionists who think that logical consistency is itself Euro-centric oppression. Thus, reactions to the Fourth Crusade, as to all the Crusades, may be more of a mirror to the present than an understanding of the past.
The destruction and theft effected by the Crusaders was probably a greater loss to civilization than almost anything that had happened to Romania during the Dark Ages. Yet there are two sides to the story, which we see in the account of Michael Choniates (c.1140-1220), the last Orthodox Archbishop of Athens before the city was taken by the Crusaders in 1205. He was forced to abandon his library, which then seems to have mostly been destroyed. We know that he had copies of Aitia and Hekale by Callimachus, which otherwise now only survive in fragments. Thus, Michael said, "Sooner will asses understand the harmony of the lyre and dung-beetles enjoy perfume than the Latins appreciate the harmony and grace of prose" [N.G. Wilson, Scholars of Byzantium, Duckworth, 1983, 1996, p.205]. This sounds rather like the chracterization of the Regents of the University of Texas by J. Frank Dobie (1888-1964), that they knew as much about academic freedom as an Arkanas razorback hog did of Keats' "Ode on a Grecian Urn." But some of the library seems to have been dispersed rather than destroyed, as a friend of Choniates wrote him about some books he had recovered. But the most interesting comment is a complaint from Choniates that the price of books has been rising because "booksellers were doing a great trade with Italians" [ibid.]. The Latins buying the books were probably not the same ones who had been destroying them, and we have already seen above that Italians were beginning to acquire and translate Greek literature in the 12th century.
Indeed, we know something of the Latins who were buying books. The Dominican friar William of Moerbeke (c.1215-c.1286) traveled around Romania, acquiring manuscripts and translating them himself. In 1280 he became the Latin Archbishop of Corinth, which placed him in the middle of things. His buying and translating activities may have even been at the personal request of his fellow Dominican Thomas Aquinas , who of course was himself from the South of Italy. This was after the time of Choniates, but it does mean that the buying about which he was complaining continued through the century. At the same time, we know that King Manfred (1250-1266) of Naples and Sicily was actually commissioning translations of Aristotle from Bartholomew of Messinia. The translations are supposed to have been sent to the University of Paris, where Aquinas (1224-1274) might have inspected them himself [ibid. pp.226-227]. Otherwise, we think of Aquinas using translations of Aristotle that were made from Arabic editions.
Amid all the damage done by the Crusaders, there thus was also already a salvage operation in effect. The disorders of the Fourth Crusade or the Turkish Conquest were probably not the safest or most efficient ways to supply Francia with Greek literature, but what we now thankfully have is the result. But the Latins who were out buying books were not the same ones trying to run a government from Constantinople. Without the sources of taxation, and before long reduced to the environs of the City, the Latin Emperors were desperate for money. This is why we hear of them melting down bronze statues and stripping the metal roofs off of buildings, activities I have previously noted .
The conquest of Constantinople by the Fourth Crusade did not result in the establishment of the authority of the Latin Emperors over the whole of the previous Empire. Greek authority was maintained in three major locations, at Nicaea , at Trebizond , and in Epirus , and a couple of minor locations, at Rhodes, later to fall to Venice, and at the fortress of Monembasia in the Peloponnesus (Morea), which fell in 1248. All three major Greek rulers eventually proclaimed themselves emperors, which means that at one point four rulers were claiming the Imperial dignity within the old Empire -- not to mention the Bulgarian and Serbian Tsars who also wanted to inherit it. The Emperor at Nicaea was the one to return to Constantinople, but the Emperor at Trebizond was the last to fall to the Turks.
Besides the 3/8 of the whole retained by Venice , including Adrianople and Gallipoli, the Latin Empire ended up included three significant feudal dependencies, all subjugated and organized by the leader of the Fourth Crusade, Boniface the Margrave of Montferrat : the Kingdom of Thessalonica (1204-1224),
with Boniface himself as king, the Duchy of Athens (1205-1456), and the Principality of Achaea (1205-1432).
Kings of Thessalonica
1207-1224, d.1230/9
Thessalonica taken by Epirus , 1224
Boniface was denied the Imperial throne by the Venetian votes, apparently because it was thought that he might make too strong an Emperor. Instead, Baldwin IX, Count of Flanders , was elected Emperor. Baldwin's reign would be short and pathetic, but one does have to say: this is a long way from Bruges. Flanders itself, inherited by Baldwin's daughters, would continue to play a role in European history far out of proportion to its size, as its wealth contributes to the power of the Dukes of Burgundy and then the Hapsburgs . The Latin Emperors could have used some of that wealth. Their fragment of Romania had a similarly reduced tax base, and the Venetians dominated trade with an immunity to taxation. The result was that classical bronzes were melted down for the metal, and even the copper and lead roofs of churches were stripped and sold. None of the damage of the conquest was made good, while regular maintenance of walls and structures was neglected. The Greeks recovered a depreciated and degraded city in 1261.
Boniface himself was killed in 1207 and the Kingdom of Thessalonica turned out to be the most short-lived of the Crusader states in Romania, falling to Epirus. In 1311 the Duchy of Athens was seized by the Catalan Company, which had mutinied against the Palaeologi. The Principality of Achaea eventually got mixed up with the Anjevians and finally was inherited, much too late, by the Palaeologi in 1432; but the Duchy of Athens never returned to the control of Greek Romania. It fell to Meh.med II in 1456.
After the restoration of Greek rule in Constantinople, a claim to the Roman throne passed down through the descendants of Baldwin II.
Charles of Anjou , who had his own designs on Romania, married a daughter to Baldwin's son Philip. Later, Charles' grandson Philip married the heiress, Catherine of Valois, of the claim. None of these claimants, however, ever had much of a chance of returning to Constantinople. Many of them, however, were also Princes of Achaea , where their succession and genealogy are given in detail.
The nimbus is not used for the Latin Emperors in the genealogy because, as Roman Catholics, they would have acknowledged Papal supremacy to a degree that the Orthodox Emperors in Constantinople never would. Latin Emperors could not be "Equal to the Apostles."
4. DESPOTS OF EPIRUS
1335-1337, 1340, & 1355-1359
Epirus absorbed by Andronicus III , 1337, 1340
In the scramble for a Greek successor to the Angeli, Epirus was in a good position, from which considerable progress was made. Thessalonica was the second city of the Empire, and its capture reasonably prompted Theodore Ducas to proclaim himself Emperor. From there, however, things only went down hill. Theodore was himself defeated and captured by the Bulgarians, which would add him to the number of Valerian and Romanus IV if we considered him a proper Emperor of Romania. But the chance of that dimmed further when Theodore's successors were defeated by Nicaea, reduced to despots, and then Thessalonica itself fell to Nicaea.
Noteworthy in the genealogy is the marriage of Anna Angelina Ducaena,
, to Prince William II "Great Tooth" of Achaea . Their daughter became the Heiress of Achaea. However, the marriage of
, Helene, to Manfred of Sicily had no issue. These marriages represented the alliance of Epirus with Sicily and Achaea, which came to a bad end at Pelagonia in 1259. William himself was captured.
Epirus itself proved difficult for either Nicaea or the Palaeologi to subdue and rule, so the despots continued there for a while, subsequently under some rulers unrelated to the Ducases, including a couple of Orsini, from a noble family of the City of Rome that contributed a number of Popes and was usually involved in the domestic disputes, rising to the level of civil wars, among the Roman nobility. How they came to be involved in Eprius, I cannot say. By the time Andronicus III was able to annex the territory, the Empire as a whole was too far gone for it to have helped very much.
5. EMPERORS AT TREBIZOND
Trebizond falls to Meh.med II , 1461
A very poor excuse for an "empire," Trebizond spent much of its existence in vassalage to the Mongols and Turks who ruled the plateau behind it. It started, however, with an heir to the Comneni and a reasonable ambition of moving on to Constantinople. After realistic chances of that past, Trebizond ended up with the dubious honor of being the last of the Greek states to fall to the Ottomans, in 1461.
Lists of the Emperors of Trebizond can be found in various Byzantine histories, but the genealogy here only comes from the Erzählende genealogische Stammtafeln zur europäischen Geschichte, Volume III, Europäiche Kaiser-, Königs- und Fürstenhäuser, Ergänzungsband [Andreas Thiele, R. G. Fischer Verlag, Second Edition, 2001, pp.235-236].
In the genealogy of the Comneni of Trebizond, there are noteworthy marriages to Kings of Georgia . There is also the interesting episode of Irene, daughter of Andronicus III Palaeologus , briefly succeeding her husband Basil as ruling Empress. She was then succeeded by her sister-in-law Anna. Most extraordinary is a marriage at the end of line. A daughter, Theodora, of Emperor John IV married Uzun H.asan, a Khan of the White Sheep Turks (1457-1478), the very Khan who conquered the Black Sheep Turks in 1469 and created a regional state that stretched from Eastern Anatolia, where the White Sheep Turks originated, into Eastern Irân. This continued until the Safavids came to power in 1508.
6. LASCARIDS
John IV
1258-1261
Sicilians & Epirotes defeated, William II of Achaea captured, Battle of Pelagonia, 1259; William ransomed with the Morea , 1261
The Lascarids at Nicaea were perhaps the best placed to move on Constantinople, except that they were at first on the wrong side of the Bosporus. Meanwhile, the legitimacy of the regime as the successor to the Angeli was reinforced when the Patriarch of Constantinople relocated to Nicaea, as well as by the dramatic moment when Theodore I killed the Sultân of Rûm in battle.
The Asiatic base of the Lascarids was remedied, mainly by John Ducas Vatatzes, who defeated the Greek rivals at Thessalonica and creating a state that straddled Europe and Asia. This created the kind of stranglehold on Constantinople that the Turks would duplicate later.
See the Angeli for the genealogy of Anna Angelina,
, daughter of Alexius III. Maria Lascarina,
, daughter of her and Theodore I, married Bela IV of Hungary , from which derives multiple lines of descendants. The marriages of the daughters of Theodore II, Maria,
, to Constantine Tich of Bulgaria , and Irene,
, to Nicephorus I of Epirus , do not seem to have been fruitful.
Constantinople was regained on a chance betrayal to the Nicaean general and Regent, Michael Palaeologus. Once in power in Constantinople, Michael disposed of the actual Nicaean heir, John IV. The Lascarids, who were actually mostly the family of John Ducas Vatatzes, thus only served to obtain the restoration of Greek Romania for the Palaeologi.
C. THE LAST DAYS, 1261-1453, 192 years
1. SERBIA
Regent, 1458-1459, d.1473
annexed by Turkey, 1459
The Golden Age of Serbia. Independence from Romania and then the passing of the most vigorous days of Bulgaria meant an opportunity for a Serbian bid for the Imperium.
This opportunity was seized by Stephan Dushan,
who ended up with most of the western Balkans and was crowned Tsar of the Serbs and Romans by the autocephalous Serbian Patriarch whom he had just installed (1346) at Pec. His long reign, however, was not quite long enough, and his death set off the kind of internal dissentions that had ruined many another state in Romania. The power of Serbia was broken, and the only Tsar succeeding to the first received the epithet "the Weak," and unrelated Princes soon inherited the Kingdom.
Then, all too soon, the Ottomans arrived. Defeats in 1371 and 1389 crushed Serbia. The agony of the Battle of Kosovo in 1389, the "Field of the Blackbirds," still echoes today in the fierceness of the attachment of modern Serbs for the area, now largely populated by Albanians. As it happened, the Sult.ân Murâd I died at Kosovo, but his son, Bâyezîd the "Thunderbolt," was, if anything, even more vigorous than his father. In 1396 Bâyezîd destroyed a Crusade, led by the King of Hungary and future Emperor Sigismund, at Nicopolis (Nikopol). Not even Bâyezîd's defeat and capture by Tamerlane (1402) revived Serbian prospects.
The dynasty of Stephan Dushan is followed by two families of princes. Stephen Lazar and his son endured the Turkish defeat and conquest and were reduced to despots. They were followed by the Bronkoviches, father and son. The wife of Lazar III Brankovich, Helene, was a daughter of Thomas Palaeologus (d.1465), Despot of the Morea and brother of the last Roman Emperor, Constantine XI . After the death of Lazar, Helene was Regent of Serbia until the Turkish annexation.
Lists of Serbian rulers can be found in various Byzantine histories, but the genealogy here only comes from the Erzählende genealogische Stammtafeln zur europäischen Geschichte, Volume II, Part 2, Europäiche Kaiser-, Königs- und Fürstenhäuser II Nord-, Ost- und Südeuropa [Andreas Thiele, R. G. Fischer Verlag, Part 2, Second Edition, 1997, pp.143-149].
3. BULGARIA, TERTERS
disintegration of state, 1385; Ottoman vassalage, 1387, 1388, Conquest, 1396
The second
Bulgarian dynasty of the period was always at a disadvantage, ground between the Mongols, Serbs, Hungary, and the Ottomans. Ottoman conquest and annexation came in the same year (1396) as the Sult.ân Bâyezîd's defeat of a Crusade, led by the King of Hungary and future Emperor Sigismund, at Nicopolis (Nikopol), where John Sracimir was killed.
Over time,
the Turks clearly regarded Bulgaria as strategically more important than Serbia or the Romanian principalities, and no local autonomy was allowed at all until the Russo- Turkish War of 1876-1878 and the Congress of Berlin (1878) forced it. Even then Bulgaria was divided and full independence did not come until 1908. Meanwhile, a fair number of Bulgarians had converted to Islâm. Since they were regarded as traitors by Christian Bulgarians, many of them migrated to Turkey, where they still live.
The list of Bulgarian rulers is from various Byzantine sources, including the only source of the genealogy here, which is the Erzählende genealogische Stammtafeln zur europäischen Geschichte, Volume II, Part 2, Europäiche Kaiser-, Königs- und Fürstenhäuser II Nord-, Ost- und Südeuropa [Andreas Thiele, R. G. Fischer Verlag, Part 2, Second Edition, 1997, pp.162-163].
5. PALAEOLOGI
1428-1460,
d.1465
Principality of Achaea inherited, 1432; Mistra, Morea, falls to Meh.med II, 1460; last piece of Romania, the fortress of Monembasia, ceded to the Pope , 1461; daughter Zoë marries Ivan III of Russia, 1472; Thomas dies at Rome, 1465
Michael Palaeologus restores the Greeks to Constantinople, and for a time Romania acted as a Great Power again, fending off Charles of Anjou , with Genoa now replacing Venice as commercial agents and Italians-of-choice in Constantinople. But it was a precarious position. Michael himself sowed the seeds of disaster by confiscating land from the tax exempt akritai,
(sing. akritês,
), the landed frontier (ákron,
) fighters of Bithynia. This weakened defenses that Andronicus II weakened further with military economies, failing to follow the maxim of Machiavelli that the first duty of a prince is war. Once the Ottomans broke the Roman army in Bithynia (1302), they, and other Turks, quickly reduced Roman possessions in Asia to fragments, never to be recovered. Bithynia (Prusa, Nicaea, and Nicomedia) became the base of Ottoman power, with Prusa, as Bursa, the Ottoman capital.
there were 14th century banners that would have evolved into a proper flag for Romania, given the chance. We find a field with a Cross, like many Crusader banners and flags, with the addition of curious devices, which look like images and mirror-images of something between the letter B, the letter E, and broken links of a chain. These are sometimes said to have already been used by Constantine I and have been variously interpreted. One interpretation that is seen is to take them as B's which abbreviate Basileus Basileôn Basileuôn Basileusin, "King of Kings ruling over Kings." However, Basileus in Mediaeval Greek meant the Emperor, not "king," while the Latin word rêx was used for actual kings. So this formula would have to be employing anachronistic usages of basileus. That's possible, but the Rhômaioi could also find something of the sort offensive. So this looks like a retrospective and speculative interpretation.
Another possibility is that they are stylized forms of Crescent Moons, originally symbolic of the divine patroness of Byzantium, the goddess Artemis. The stylized forms have been inherited in the arms of
Serbia , and crescents are used as a Serb national symbol, seen at left -- something that has probably become a sign of terror to non-Serbs in Croatia, Bosnia, and Kosovo. If it was the Crescent that was originally used in Constantinople,
this may have been directly inherited by Turkey . A Crescent is now commonly taken as symbolic of Islâm, but this may not antedate the Turkish flag. The star on the Turkish flag is sometimes said to be Romanian also, symbolizing the Virgin Mary, but it does not occur on the earliest Turkish flags. However, Whitney Smith
[Flags Through the Ages and Across the World, McGraw-Hill, 1975] shows a flag identified only as "medieval Russian" that shows a cross with four crescents and four stars also [p.174]. The crescents are oriented differently, but this design seems too elaborate not to have Roman antecedents.
The banner that Whitney Smith shows for Romania itself [p.45] has the flag with the distinctive devices quartered with a simple red cross on white. One does not find this banner, or other Roman symbols,
shown or discussed in the standard Byzantine histories . This seems peculiar, and Smith gives no reference for his banner. Wikipedia does cite a Spanish atlas circa 1350, the Conoscimento de todos los Reinos. If we do not know of it from Greek sources, that is probably why it does not figure in the Byzantine histories.
I would like to know more about the history and meaning of such a banner. The red cross on white came to be identified as the Cross of St. George (
), which is how we see it as the flag of England -- something that is coming into increasing use today, when England often has sports teams separate from Scotland (which uses the Cross of St. Andrew). But St. George has been widely popular and is the patron of many places, including Barcelona, Portugal, Beirut, Georgia in the Caucasus, and various other states and cities. While the red on white Cross was used by
Genoa and some other Italian cities, there is the complication that St. George is not the Patron Saint of Genoa (although this is sometimes said to be the case, as I have been doing previously) -- that is John the Baptist. The Genoese cross is thus perhaps not originally the Cross of St. George at all -- although there is a story about the red cross and St. George being brought back from the First Crusade (1099), which is possible. Wikipedia says that ships from London began using the red Cross on white in the Mediterranian in 1190 precisely to benefit from the protection of Genoa -- the Doge was paid an annual tribute for the privilege of this use. Since Genoa became the ally of Constantinople under the Palaeologi, I wonder if the banner actually reflects that alliance. In modern custom, the upper corner by the staff, the canton, is the key quarter, so the quartering we see could be something used in the first place by the Genoese.
There is the issue of just how and when the red cross on white becomes associated with St. George. The Saint, as a native of Lydda in Palestine, was popular in the Orthodox Churches (a cave near Beirut is still pointed out as the site of his slaying the dragon, although other places also claim that distinction), and the earliest known depiction of him slaying the dragon is from 11th century Cappadocia, but I am not otherwise aware of him being particularly iconic for the identity of Romania or Constantinople --
as I have noted, Byzantine histories have little discussion of such symbols. And "George,"
, is not originally a Christian name but derives from the name of Zeus Georgus,
("earth worker"), i.e. Zeus the patron of farmers.
The crosses in general are artifacts of the Crusades , and the particular popularity of St. George in the West was itself the result of Crusaders bringing his cult and legend back with them. In a 1188 meeting between Richard the Lionheart and the King Philip II Augustus of France, red on white was chosen for the Crusaders of France and white on red for those of England, but this was apparently a random assignment and did not involve any preexisting attachment of France, or of these colors, for St. George (see more about this
elsewhere ). And these assignments persisted for some time. In the St. Louis Cathedral in New Orleans, the body of St. Louis, who died in 1270, is still shown draped in the red on white. Since St. George was not the patron of Genoa, the association of the red cross with the Saint is more likely to originate at the source with the Crusaders. It is noteworthy that the church of the English Varangians in Constantinople was dedicated to St. Nicholas and St. Augustine of Canterbury. One would have expected a church of English warriors to involve St. George, if St. George was already associated with England. He wasn't.
Nevertheless, I do find positive statements at Wikipedia that in England St. George had along been revered and the red cross on white had long been associated with him even before the Third Crusade, and that the white cross on red was assigned by the Pope to England but then switched with France at the 1188 meeting between Richard and Philip II. This is inconsistent with my other sources (e.g. Whitney Smith, Znamierowski, or elsewhere at Wikipedia), does not seem to be attested by the evidence, as noted below, and in general is not consistent with the understanding that the use of crosses originated with the Crusades (at a time when national flags or settled national colors did not exist), involved variable colors for many years, and that the veneration of St. George was brought back by the Crusaders. I worry that claims for the antiquity of the specifically English "Cross of St. George" are ahistorical, nationalistic, and fantastical in motivation.
Since the red on white cross, as a symbol of St. George, has become distinctive of England, I begin to wonder to what extent it actually reflects the history of English involvement with Romania. Indeed, if the Cross of St. George here originated with Crusaders in the East, its interpretation as an English symbol could well have been due to the English Varangians themselves, who would have fought under it for many years and picked up the cult of St. George just as the Crusaders did.
It is attested that by 1277,
the English cross had settled on the red on white coloring, and this was at the time of perhaps the heyday of English Varangians under Michael VIII -- who wrote the letter mentioning them in 1272. Whitney Smith says that the red cross was not really prominent for another century [p.182], while The Penguin Dictionary of Saints [1965, 1983] says that George "may have been named the national patron when King Edward III founded the Order of the Garter under his patronage, c.1348" [p.146]. I might therefore entertain the speculation that what became the traditional coloring of the English Cross of St. George, and its identity as the Cross of St. George, might actually have been derived from a Romanian even more than from a Genoese source. This would be a monument unlike any other to the history of the English involvement in Constantinople. Since most histories of England ignore the very existence of English Varangians, the connection of the Cross of St. George to them falls into a kind of secret history.
Raffaele D'Amato [op.cit. p.12] says that one of the last references to the English Varangians was a letter written by John VII (who was Regent, 1399-1403, for his uncle Manuel II) to King Henry IV of England in 1402, speaking of them helping in the Turkish siege of Constantinople, 1394-1402. D'Amato adds that "'Axe-bearing soldiers of the British race' are referred to by Byzantine envoys in Rome as late as 1404..." This is apparently the last reference to English Varangians.
If Michael VIII was also writing to a King of England about English Varangians in 1272, which is possible but is not stated by Blöndal and Benedikz or by D'Amato, this would have been Henry III -- which means that Emperors wrote to Kings Henry II, Henry III, and Henry IV about English subjects in the Varangian Guard. That would be a nice touch. Even without Michael VIII, we do see a history of the Emperors expressing concern to Kings of England about the presence and activities of Englishmen in Romania. And there certainly may have been other communications whose record has not survived.
), i.e. Anatolia. The Ottomans, however, do not seem to have used the dicephalic Eagle.
Alternatively, Donald M. Nicol [Byzantium and Venice, a Study in Diplomatic and Cultural
Relations, Cambridge University Press, 1999, p. 249] says, the dicephalic Eagle was adopted by Andronicus II to symbolize the division of authority with his grandson, Andronicus III -- though it far outlasted that particular division. However, it looks like dicephalic eagles long antedate this and are found in Hittite , Armenian , and even Seljuk iconography, with the latter perhaps suggested by remaining Hittite images in Anatolia. The earliest use in Romania seems to have been with Isaac Comnenus . Eagles have been used by many (including the United States and modern Romania ) to imply Roman antecedents; but the double headed eagle, despite the low level of power to which the Palaeologi had fallen, was adopted in particular by the Holy Roman Empire (followed by Austria ) and by Russia , and subsequently by
Serbia (as we see at left, with the devices discussed above), Montenegro , Armenia , Albania , and others. In direct continuity with Romania, it is also used by the Patriarchate of Constantinople . Although the eagle had disappeared from much Communist iconography, it has returned since the Fall of Communism. One Communist regime that continued to use it even on its flag, was Albania, to commemorate George Castriota (Gjergj Kastrioti), or Skanderbeg, who drove the Turks out of Albania between 1443 and 1463 (note in the genealogy below that Skanderbeg's son John marries a Palaeologina,
).
that had been extensively planted there for silk worms and sericulture, after silkworm eggs were smuggled from China in the days of Justinian .
After the Fourth Crusade, the last of the Morea, the fortress of Monembasia ,
, had fallen to the Latins in 1248. But then Monembasia and Laconia were returned in 1261 as ransom for William II de Villehardouin (1246-1278), Prince of Achaea , who had been captured in battle in 1259.
On Mt. Taygetos, to the west above the ancient city of Sparta , the castle (castrum,
) of Mistra,
, Mystrás (or
, Mistrás, or
, Myzêthrâs) had been founded by Prince William in 1248. Under the Palaeologi, this grew into a complex of buildings and became a surprising center of art and learning as well as the capital of the Despotate. Indeed, one could even say that the Renaissance began there, since many of its scholars, with their books, fled the Turkish Conquest to Italy, which was ready for them.
The Morea became a kind of Viceroyalty under the Cantacuzeni Despots (
). Under the Palaeologi, starting in 1383, the Despot,
(sometimes more than one), was usually a son or brother of the Emperor. The last Emperor, Constantine XI, began as a Despot of Morea. He very nearly acquired Athens in 1435. Unfortunately, in 1446 he had to endure a raid by Ottoman Emir Murâd II , which broke through the Hexamilion Wall across the Isthmus of Corinth with cannon fire, an omninous portent of what the Ottomans could do at Constantinople in 1453. Murâd enslaved 60,000, apparently in retaliation for the Crusade of Varna in 1444.
Constantine's brother, the last Despot, Thomas, married the Heiress of Achaea and came into possession of the Principality and all the Peloponnesus in 1432. By then there was little time left for further successes. The last thing left to Thomas by the Ottomans was, again, the fortress of Monembasia. Thomas never took the obvious step of declaring himself the new Emperor in succession to his brother, and he turned over Monembasia to the Pope in 1461 (or 1460). The Pope thus became, as Popes had long desired, the ruler of all the Roman Empire. The Pope sold the fortress to Venice in 1463 (or 1464). It remained with Venice, 1463-1538, fell to the Ottomans, and then was recovered by Venice, 1684-1715. The long slumber of Ottoman possession was then followed by that of modern Greece in 1821.
The Fall of Constantinople, on May 29, 1453, is one of the most formative, epochal, colorful, and dramatic episodes in world history. As the final end of the Roman Empire, it was a much more revolutionary and catastrophic change than the "fall" of the Western Empire in 476, in which power remained in the same hands of the current magister militum. That the greatest Christian city of the Middle Ages should pass to Islâm held a symbolism that was lost on none. But the defenders had little active help from a Europe that four hundred years earlier had launched armies all the way to Jerusalem. The most active help was from an unofficial Italian contingent from Genoa (which officially did not want to break relations with the Ottomans), led by the accomplished soldier Giovanni Giustiniani Longo. Giustiniani was perhaps militarily the most effective leader of the defense. When he was wounded and left the walls, one is then not surprised to learn that the city fell on that day. As the last Emperor's name, Constantine XI, recalls the founder of the city, Giustiniani's name echoes the Emperor, Justinian, who recovered Genoa itself from the Ostrogoths. But it was only the introduction of cannon that made the breach in the Long Walls possible at all.
The seige of Constantiople began on April 6, 1453. It was not the first effort by the Turks to take the City, but it would be much better prepared to do so, with the enthusiasm and determination of the young Sultan Mehmet II . The City could not be entirely sealed off from outside help, and ships occasionally were able to come and go. Short of defenders, a major setback for the Romans was when the Turks avoided the chain across the Golden Horn by dragging their ships overland behind Galata into the previously safe harbor. At that point, the City was under assault from three sides instead of just two. The seige would then last 53 days, with a fatal breach finally opened by Mehmet's cannons in the previously impregnable Triple Land Wall. For a while, the breach was miraculously repaired by frantic activity every night, to the astonishment of the Turks. But this ended up being more cosmetic than structural, and in the end the equivalent of string and duct tape were not enough. The elite Janissaries (Turkish Yeniçeri, "new soldiers") poured through. May 29th, a Tuesday ( Julian Day 225 1915), would then be remembered in Islâm as 20 Jumâdâ l-ûlâ,
(i.e. the "first" Jumâdâ), 857 AH, on the Islamic calendar .
Because of the high drama and significance of all this, it is a little puzzling that there has never been, to my knowledge, a Hollywood movie about the event. The closest may have been the brief prologue to Bram Stoker's Dracula [1991], by Francis Ford Coppola, where we see the Cross thrown down from the dome of Sancta Sophia and a Crescent appear in its place. One problem with doing the story may be in great measure because of the scale of the location. The Theodosian Land Walls of Constantinople are 6.5 kilometers long, almost 4 miles. Since the ruins of the walls could not be used, and the whole length could not be built (as the whole Alamo was build by John Wayne for The Alamo), other devices would be necessary. With computer graphic effects, a portion of the Wall could be built with the rest filled in digitally, the way the top half of the Coloseum was filled in for Gladiator. And models could be used. With the older technology, this would have looked very cheesy. However, models now can look much, much better -- the models for Lord of the Rings (2001) even came to be called "big-atures" instead of "miniatures" they were so large. CG and models would also work for another problem, which would be showing the general situation of the city between the Sea of Marmara, the Bosporus, and the Golden Horn. A live shot of the modern buildings would not help. But the whole thing could be done digitally, or live shots could be digitalized and edited, to remove modern buildings and render mediaeval ones. This would also help with scenes in Sancta Sophia. The movie would have to show church services there, but my understanding is that these are not allowed in the modern building, even though it is now a secularized museum rather than the mosque it became at the Conquest (there is a small Islamic chapel, but not a Christian one). No problem. All we need is a photograph, and Industrial Light and Magic can put Constantine XI and the whole gang right into it with all the paraphernalia of the Greek Orthodox Church. Even so, it is questionable how interested Hollywood will ever be, even after Gladiator, and even when the legendary material, like the Virgin Mary retrieving her Icon, or the various versions of the death of Constantine, simply cry out for cinematic representation. With the present conflicts involving Islâm , some might consider the whole topic inflammatory; and it is very possible that Turkey would not allow location filming for such a movie.
While there may or may not be surviving Imperial Palaeologi (see below), Constantine XI lives on in legend. When the Turks had manifestly broken through, at the Fifth Military Gate -- subsequently called the Hücum Kapïsï, "Assault Gate" in Turkish -- and the Fall of the City was imminent, the Emperor is said to have thrown off the Imperial Regalia and disappeared into the thick of the fight. He is reported to have shouted,
, "Let's go, men, against these barbarians!" [Greek Text, Laonikos Chalkokondyles, The Histories, Volume II, translated by Anthony Kaldellis, translation modified, Dumbarton Oaks Medieval Library, Harvard University Press, 2014, p.192] -- the last words of the Roman "Last Emperor." In Chinese, this could be
, "Last Emperor, Last Injunction" (or "last will") --
, "last words," is an expression that we do not seem to see in Chinese. There is no doubt that Constantine died. A body was later identified and a head displayed, but some doubt remains about the identification. A story arose that Constantine sleeps under the Golden Gate (like Barbarossa under the Kyffhäuser), or that an angel turned him into marble, with a similar placement below that Gate, or that he would reenter the City through the Gate; and we get legendary details such as the awakening of the Emperor would be "heralded by the bellowing of an ox" [Donald M. Nicol, The Immortal Emperor, Cambridge University Press, 1992, p.104].
Generations of Turkish governments took these stories with sufficient seriousness that the central entrance of the Golden Gate remains bricked up to this very day -- like the Golden Gate in Jerusalem , through which the Messiah is supposed to enter the City. In 1717, Mary Wortley Montagu, the wife of the British Ambassador, reported that the Turkish government had seized an Egyptian mummy that had been bought by the King of France . Since the mummy was then placed in the "Seven Towers," the fortress built around the Golden Gate, this seems to indicate a belief, or fear, by the government that this had been the body of Constantine XI, to be used as a talisman for the defeat of the Turks or the reconquest of Constantinople. This same story was later related to the French consul F.C.H.L. Pouqueville, who was held prisoner in the fortress from 1799 to 1801, and who claimed to have actually found the mummy there and carried off its head [ibid. p.103]. I don't know what Pouqueville is supposed to have done with the head.
A similar legend concerns Sancta Sophia. We find a version of it in, of all places, one of Anne Rice's vampire fictions:
"...as the Turks stormed the church, some of the priests left the altar of Santa Sofia [sic]," he said. "They took with them the chalice and the Blessed Sacrament, our Lord's Body and Blood. They are hidden this very day in the secret chambers of Santa Sofia, and on the very moment that we take back the city, on the very moment when we take back the great church of Santa Sofia, when we drive the Turks out of our capital, those priests, those very priests will return. They'll come out of their hiding place and go up the steps of the altar, and they will resume the Mass at the very point where they were forced to stop." [The Vampire Armand, 1983, Ballantine Books, 1999, p.110]
It is not at all difficult to imagine that Sancta Sophia was built with secret passages or chambers. Justinian might even seem negligent if he had not done that. A similar legend is that three priests or monks sleep in the crypt of the Gül Camii mosque,
which had been the church of St. Theodosia or the Virgin of the Roses (Gül Camii actually means the "Rose, its mosque"), and that Christian vistors could hear them say that "the time and the hour had not yet come" [Nicol, op.cit., p.105].
Whether deathless priests wait for the liberation of the churches and the City is a more demanding idea than that of secret passages, although perhaps not much more demanding than the changes in politics and demography that would be necessary for Constantinople to be restored to Christendom -- a Christendom, or at least a European Christendom, that these days seems to have lost faith, confidence, and will far more than contemporary Islâm . Indeed, one wonders if Francia can be identified as "Christendom" at all anymore. The hostility of intellectuals to the religion, often with their craven accommodation to militant Islâm, and their anti-Semitism, is one of the more remarkable and disturbing characteristics of the modern European moral climate. Vladmir Putin , creating an aggressive dictatorship in Russia, seems intent on recreating the Russian Empire, perhaps with Tsarist ambitions against Turkey -- although, busy conquering the Ukraine , Putin has given no hint of that yet. As confident as the Europeans are demoralized, Putin is treated with similar complacency and appeasement.
, Hodêgêtria Icon (the Virgin who "Shows the Way," by pointing at Christ), was kept at the Hodegon Monastery and displayed in a procession every week. This was supposed to have been painted by St. Luke and in 439 brought to Constantinople from Jerusalem by the Empress
, St. Aelia Eudocia Augusta . At the time of the Siege in 1453, it had been moved to the Church of St. Savior in Chora (subsequently the Kariye Mosque), to be closer to the Walls. What we hear is that after the breakthrough, the Turks stormed the Church and chopped up the Icon for souvenirs. The Hodegetria motif, however, was be much reproduced, even in later Italian art.
The
, Blachernitissa (or Blacherniotissa) Icon, in bas relief, and the
, Maphórion, the Robe or Veil of the Virgin, were kept at the Church of the Virgin Mary at Blachernae (
), near the Walls. Blachernae,
(Regio XIV of Constantinople), was originally a suburb of Constantinople settled by Vlachs ,
. Eventually it was enclosed by the Walls of the City. By the time of the Palaeologi, the Blachnerae Palace had become the principal residence of the Emperors. The icon and relic had been brought out to protect the City during sieges -- the Maphórion is supposed to have repulsed the Avars in 626.
Both disappeared with the Fall of the City -- although there is no mention of them after the Church burned in 1434, which means they may already have been destroyed. Nevertheless, one story is that Constantine XI was praying to the Icon the night before the City fell, and as he watched, it was taken up to Heaven. He therefore knew what was going to happen the next day. It is a shame that this marvelous scene has not been reproduced in a movie or documentary. Later, an icon turned up at Mt. Athôs that was believed, one way or another, to be the Blachernitissa. However, this icon was of a Hodegetria form, with the Virgin pointing to Christ, and the original Blachernitissa is thought to have shown the Virgin orans, i.e. with hands lifted in prayer, as we see on the seal at left.
The surname Palaeologus survives today, but it is not clear that any modern Palaeologi are descendants of the Imperial family. In the genealogy, we see considerable intermarriage outside the Empire, even to Tsars of Bulgaria. The marriage of Zoë-Sophia to Ivan III of Moscow is the one most filled with portent, but the last Russian Tsar to be their descendant was Theodore I (1584-1598).
John Julius Norwich (Byzantium, The Decline and Fall, Knopf, 1996, pp.447-448) notes that there is buried in St. Leonard's church in Landulph, Cornwall, England a "Theodore Paleologus" (d.1636) from Italy, who is said to have been a direct descendant of John, son of Thomas, Despot of the Morea. However, Thomas is not known to have had a son John, and so the claim of descent, regardless of any other merits, is questionable. Theodore had a son Ferdinand, who died in Barbados in 1678. Ferdinand had a son "Theodorious," who returned to England and died in 1693, leaving a daughter, "Godscall," whose fate is unknown.
What John Norwich seems to have missed is that there were undoubted lines of Palaeologi (Paleologhi) in Italy, descended from the Emperor Andronicus II, whose second wife was Yolanda, the Heiress of the Margraves of Montferrat. While Andronicus's eldest son succeeded in Constantinople, his son by Yolanda, Theodore, succeeded to Montferrat. The main line of the Palaeologi of Montferrat continued until the death of the Marchioness Margaret in 1556. But branch lines continued much longer, perhaps even to the 20th century. This is covered in the Erzählende genealogische Stammtafeln zur europäischen Geschichte, Volume II, Part 2, Europäiche Kaiser-, Königs- und Fürstenhäuser II Nord-, Ost- und Südeuropa [Andreas Thiele, R. G. Fischer Verlag, Part 2, Second Edition, 1997, pp.260-261], which, however, only indicates that the lines continue after the 16th century.
The Theodore buried in Cornwall could very well have simply gotten confused about his genealogy. He might have been a genuine Paleologo from Italy.
Maurice Paléologue (1859-1944) was a French diplomat. His name derived from his birthplace, in Romania, where, illegitimate, he was given the surname of his maternal grandmother, Zoë Paleologu. There is no evidence that the Romanian Paleologus were descendants of Greek Palaeologi. Because Paléologue was the French Ambassador to Russia, 1914-1917, we see his name in Cyrillic :
. I cannot say if this version of the name in Russian simply transcribes the French name or if it is actually the Russian form of Greek Palaiologos.
6. ROMÂNIANS
Wallach, as in Wallachia (or Walachia), is a cognate of the English words "Welsh" and "Wales." We get the same word in German, as Welsch or Walsch, from Old High German Walah or Walh, and apparently from a Proto-Germanic *Walchaz. In Old English it was Wealh or Walh. In Mediaeval German, we see Walen used to mean Italy in the description of the titles of the Holy Roman Emperor by the Sachsenspiegel -- Saxon Mirror, a legal text of 1230 -- the Emperor is the Here der Walen, the "Lord of Italy."
We see that word today in the names of the Walensee (or Wallensee) and Walenstadt in Switzerland, where it means, what? the "lake of the Italians" or the "city of the Italians"? Well, probably not. The intriguing Imperial general of the Thirty Years War , Albrecht von Wallenstein, looks like he has a name related to this root -- although it may only be a derivative of Waldstein, with "wood," Wald, instead of Walen.
While we are accustomed to apply the words " Wales " and "Welsh" to the land and inhabitants of what had been Roman Cambria (Welsh Cymru), the use in Old English applied to all the Celtic Britons that Germans found where they invaded and settled. Thus, the laws of the Saxon King Ine (688-726, d.728) of Wessex refered to all Britons as "Welshmen" (Wealhcynn, i.e. "Welsh-kin"). So this would encompass those we now identify as the Britons of Strathclyde , the Welsh, the Cornish, and the Bretons , along with Celts who remained under the rule of the invaders (as in Wessex), whose names are often distinguished by a wal[h] element, as in "Wallace" or "Walsh," and who may have lived with pockets of Britons in places like "Walcot" or "Walden." Even the humble walnut is the Old English wealhhnutu, the "Welsh/foreign nut." Were there really no walnuts in Germany?
Welschen originally was a German word for Celts -- perhaps from the name of the Celtic tribe, the Volcae, in Latin -- and then the Romano-Celts and then just for Romans.
WALLACHIA
1600
Continues under Ottoman Control; Lines of Princes Continued
In Switzerland , the Walen place names commemorate the presence of Romance speakers at the boundary or within the area taken over by German speakers -- though the area around the Walensee is now overwhelmingly German speaking. In Switzerland we do have Italian speakers, but there is also a separate Romance language, Romansh, part of the Rhaeto-Romance group (Rätoromanische Sprache -- named after the Roman province of Raetia).
Welsch can mean different things in different places. In Swiss German, it tends to mean the French language in Switzerland (which, in French, is Romand spoken in Romandie -- a dialect of Franco-Provençal or Arpitan). In increasingly archaic Standard German (it is not listed in my Cassell's German Dictionary), it can mean, indeed, Italian. And, as we have seen, the very similar English "Welsh" will mean the Celtic speaking Britons of Wales, although this has been reduced from its previous applications.
Wealh in Old English apparently was used to indicate pockets of British settlement after the conquest of the Angles, Saxons, etc., as in the place-names Walcot, Walden, Walford, and Wallington. We also have English and Scots surnames, like Wallace, Walsh, and Waugh, that have the root (cf. A Dictionary of Surnames, Patrick Hanks and Flavia Hodges, Oxford University Press, 1988, pp.563-564, 568). As a Scots name, "Wallace" goes back to the Britons of Strathclyde . We get Valland used in Icelandic for France ( Francia Occidentalis ). Even now, Walloon -- Waalsch in Dutch or Flemish -- is used for French speakers in Belgium.
This Germanic word for Romans seems to have been left, perhaps by the Goths, in the Balkans. It turns up as Vlach in Czech, one of many words for the Romance language, and its speakers, in Slavic languages. The Latin form "Blachus" and the Greek
, Vlakhos, also occur. We see surnames in Polish, Wloch, Russian, Volokhov, (the Uralic language) Hungarian, Olasz, etc.
In modern parlance, the convention for some time was that Romance speakers south of the Danube spoke "Vlach" and those north of the Danube spoke "Romanian." "Romanian" is now also coming to be used for the languages (Arumanian, etc.) south of the Danube also, with "Daco-Romanian" used to specific the north of the Danube language.
The Principalities of Wallachia and Moldavia are the first Vlach/Romanian states that we see north of the Danube. They appear in the period after incursions from nomadic Steppe empires ceased. They were never subject to the Roman Emperors in Constantinople, and they occupied territories that had been abandoned by the Roman Empire in the Third Century , or never occupied by it in the first place. The arrival of the Turks subjected them to Ottoman suzerainty, but this was of varying rigor. The lines of Princes continued, but by 1711 the Sult.ân began to sell the seats to Greek tax farmers, a destructive practice that continued until 1821.
The most famous person in these lines is certainly Prince Vlad the Impaler of Wallachia. In legend and horror, one might almost say romance, this cruel man has grown into the paradigmatic vampire, Count Dracula, though his home has been slightly relocated, from Wallachia to Transylvania and the Carpathian Mountains (between Transylvania and Moldavia). For a while, I was under the impression that Prince Vlad Dracul (1436-1442, 1443, 1447) was Vlad the Impaler. However, a Romanian correspondent straightened me out, that Prince Vlad the Impaler was not Vlad Dracul but instead the subsequent Prince Vlad T,epesh (1448, 1456-1462, 1476, also Vlad "Draculea, Dracula"), his son. The correspondent also pointed out the interesting career of Iancu de Hunedoara (János Hunyadi) as Prince of Transylvania and Regent of Hungary, for which links have been installed.
My confusion about Vlad may have been due to Andreas Thiele's Stammtafeln zur europäischen Geschichte, Volume II, Part 2, Europäiche Kaiser-, K�nigs- und F�rstenhäuser II Nord-, Ost- und S¨deuropa [R. G. Fischer Verlag, Second Edition, 1997, p.139]. Thiele lists a unnamed sister of Hungarian King Matthias Corvinus (Latin corvinus, crow or raven-like), and so a daughter of Iancu de Hunedoara, who married Vlad II Dracul, whose death is given as 1476, i.e. the year of the death of Vlad III (when he was assassinated and his head taken to Constantinople). I do not see this sister attested in other sources, and the children of Vlad II were the result of more than one marriage and several mistresses. The sister of Corvinus, if she existed, may have been lost in the shuffle and in any case is unlikely to have been the mother of the significant sons of Vlad II.
Vlad the Impaler's career had many ups and downs. In exile in Hungary, he was imprisoned by Corvinus, for as much as ten years (1462-1472), although the Hungarians then helped him return to Wallachia in 1476. The association of Vlad with vampires has now drawn Corvinus into that legend, as we see in the Underworld [2004, 2006, 2009] movies -- although without the slightest reference to the real history of Matthias or de Hunedoara. Vlad's practice of impaling enemies and prisoners was not his own bright idea. The Turks, with whom Vlad was a hostage, 1442-1447, practiced impalement; and we even hear about impalement in Islamic courts in India under the Moghuls . But Vlad is supposed to have employed the practice to excess, to the point where once even Meh.med II reportedly turned back from Wallachia in horror at the thousands or tens of thousands of bodies that Vlad had impaled along the Danube.
As with Iancu de Hunedoara, Vlad III was often successful against the Turks. After Meh.med II was driven from Wallachia, he supplied Vlad's younger brother, Radu cel Frumos, with troops and money to exploit local rivalries, undermine Vlad, and replace him, which he did. Meanwhile Stephen III of Moldavia (1457-1504) and Skanderbeg (1443-1463) continued to defeat the Ottomans and slow their advance in the Balkans. Recently, G.J. Meyer says of Vlad:
The West owed him as it owed Stephen, an immense debt. The two kept whole Ottoman armies tied up for decades. [The Borgias, The Hidden History, Bantam, 2013, p.48]
Nor does Meyer neglect de Hunedoara or Skanderbeg. Unfortunately, the genius of these leaders did not outlive their generation. The death of Stephen in 1504 meant that barely another twenty years would pass before the Ottomans would be in Hungary, preparing to stay there for a century and a half.
The title of these rulers was Voivode, a word that we even find in Bram Stoker (Dracula, Penguin Books, 1897, 1993, p.309). This term no longer appears in convenient Romanian or Hungarian dictionaries, for any of its meanings (c.f. NTC's Romanian and English Dictonary, Andreí Bantas, NTC Publishing Group, 1995; Hippocrene Concise Dictionary, Hungarian, Hungarian-English, English-Hungarian, Géza Takács, Hippocrene Books, 1996; or Hippocrene Standard Dictionary, English-Hungarian Dictionary, T. Magay & L. Kiss, Hippocrene Books, 1995). Those meanings began with "duke" or "prince" and ultimately declined to merely "governor," which would have been appropriate to Wallachia or Moldavia under the Turks. This word is actually Slavic, and is thus discussed under Eastern Europe , but its ultimate origin was the Roman title (dux, "leader") in Greek, stratêlatês ("army," stratos, "leader," elaunein, "to lead"), which was also the source of German Herzog .
The Vlach language of the Principalities, not a written language in the Middle Ages, came to be written in the Cyrillic alphabet
. The unified country itself became first "Roumania" or "Rumania," later further Latinized into "România," and soon the Cyrillic alphabet was traded in for the Latin alphabet, as the
Roman roots of the people were increasingly emphasized. The issue of România and the Vlach language and people is discussed further in " The Vlach Connection and Further Reflections on Roman History ."
In contrast to the original Romania, i.e. the Roman Empire (Imperium Romanum), the north-of-the-Danube state might usefully be characterized as "Lesser Romania" (Romania Minor) on analogy to " Lesser Armenia " in the Taurus; but this would probably be considered insulting by modern Românians. Perhaps "Later Romania" (Romania Posterior, Recentior) would be better, like the Later Han Dynasty -- making the Empire into the "Former Romania" (Romania Prior), like the Former Han Dynasty . However, since Armenia is rarely called "Greater Armenia" in contrast to Lesser Armenia, we might simply leave România as România and make the contrast with "Greater Romania" (Romania Maior) as the
Roman Empire, where clarity is needed.
The map shows all the territories that ultimately were assembled into modern România. Transylvania, although predominately Romanian speaking, was part of Hungary all through the Middle Ages right down to the end of World War I. Bessarabia also became part of România at that time, was subsequently annexed to the Soviet Union, and now is the independent, and painfully impoverished, nation of Moldova.
The list of Princes here is taken from the Regentenlisten und Stammtafeln zur Geschichte Europas, by Michael F. Feldkamp [Philipp Reclam, Stuttgart, 2002, pp.142-144 & 259-261].
Copyright (c) 1996, 1998, 1999, 2000, 2001, 2002, 2003, 2004, 2005, 2006, 2007, 2008, 2009, 2010, 2011, 2012, 2013, 2014, 2015, 2016 Kelley L. Ross, Ph.D. All Rights Reserved
Rome and Romania, 27 BC-1453 AD, Note 1
In some Greek cities (including Byzantium), it was illegal for men not to wear beards. The Hellenophile Marcus Aurelius wore a beard, a style that kept coming back every so often -- neither Constantine nor Justinian wore a beard -- until it became permanent with the Greek speaking Emperors of the Middle Ages.
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Rome and Romania, 27 BC-1453 AD, Note 2
There is a series of books that works something like this. The Osprey Publishing [Oxford, New York] "Men-at-Arms" series divides all this history up between five small books (about 40 pages each). The first two are explicitly titled "The Roman Army," and the last two "Byzantine Armies." Michael Simkins authors the first two [1984, 1979], and Ian Heath the last two [1979, 1995]. The titles seem to reflect some differences in thinking. The "Roman" books are, first, "from Caesar to Trajan," and then "from Hadrian to Constantine."
The "Byzantine" books use dates, first "886-1118" (the death of Basil I to that of Alexius I), and then "AD 1118 to 1461" (i.e. to the fall of Trebizond). There is a rather large gap between the "Roman" and the "Byzantine" books, which is then filled with "Romano-Byzantine Armies 4th-9th Centuries," by a third author, David Nicolle [1992]. This book covers a vast amount of time and very different conditions, from Late Antiquity, including the Army of the Notitia Dignitatum, through the Arab Conquests to the beginning of the Macedonian Dynasty. The two "Roman" books have common illustrator, Ron Embleton, while all the others are illustrated by Angus McBride.
The impression we get from this is of two different centers of history, the "Roman" and the "Byzantine," which have a bit awkwardly and even tenuously been bridged with a treatment that reminds us, at last, that we are dealing with a continuous story. Yet this middle book covers events that call out for detailed treatment, from the German invasions and the Battle of Adrianople, to the Arab Conquest, to the development of the Themes and Tagmata, through the Arab Sieges of Constantinople and the use of Greek Fire. It is odd to see all that shoved together in the same small brief format as with all these books. It makes this part of the publishing project look more like an afterthought, which perhaps it is.
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Rome and Romania, 27 BC-1453 AD, Note 3
I've tried various ways to represent the events of the Tetrarchy. The Chart of the Tetrarchy provides timelines for all the legitimate Emperors and the significant usurpers also. The animation at right runs through nine different phases of the history, showing the legitimate Emperors (i.e. with mutual recogniation), until Constantine alone is left. But it begins when there are four Emperors, in 393, and the amount of time for each phase bears some relation to its actual duration, which makes it a little difficult to study each combination (without stopping the animation with the ESC key).
The most striking thing about the history, however, is that the Tetrarchy begins with Diocletian alone and ends with Constantine alone. The diagram below illustrates this circumstance the most vividly. It also illustrates two key features of the history of the Tetrarchy: (1) After the retirement of Diocletian and Maximinian, the appointment of new Emperors seems to have been usurped by Galerius, so that Severus, Maximinus II Daia, and Licinius were all protégés or even relatives of Galerius. This anomaly introduced an inequality between the Augusti and also a geographical anomaly, in that Severus and Lincinius were appointed to be Western Emperors, but neither ever established himself in the West. Severus was killed trying to do so, and it is not clear that Licinius ever tried. (2) The untimely death of Constantius Chlorus led to the proclamation of his son, Constantine, by their troops in Britain. Constantine was thus a usurper; but, perhaps considering the difficulty of removing him, Galerius recognized him as a Caesar.
But this provoked a reaction from Maxentius, son of Maximian, who had been passed over in 305 and rather resented it. Now, he is not going to stand by while the son of Constantius is elevated, but not him. So he rebels, and brings his father out of retirement with him. He even forms an alliance with Constantine, who marries his sister. Thus, the bottom of the diagram is red, as it were, with rebellion. At the death of Galerius in 311, there are no new appointments; so as Constantine gets rid of Maximian and Maxentius, Lincinus gets rid of Maximinus Daia, and then Constantine does the same for Lincius, the Tetrarchy is whittled down to its Last Man Standing. Meanwhile, there has been a revolution in religion, and Constantine has established both Christianity and a new Capital, Constantinople. It is a real roller coaster, which is a bit what the diagram looks like -- a wild ride of just forty years from the beginning of Diocletian's reign in 284 to Constantine achieving sole rule in 324. The Roman Empire is profoundly transformed.
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Rome and Romania, 27 BC-1453 AD, Note 4
Bede identifies several Emperors by number. This includes Claudius, #4, Marcus Aurelius, #14, Diocletian, #33, Gratian, #40, Arcadius, #43, Honorius, #44, Theodosius II, #45, Marcian, #46, and Maurice, #54. This numbering works if we eliminate three of the four Emperors of 69 AD, the ephemeral Emperors of 193 and 218, a couple of them from the Third Century , most of the Tetrarchy and Constantian coregents, and, most importantly, all of the Western Emperors after Honorius. The latter is especially striking because Bede mentions Valentinian III: "In the year of our Lord 449, Marcian became Emperor with Valentinian and fourty-sixth successor to Augustus" [Bede, A History of the English Church and People, Penguin Classics, translated by Leo Sherley-Price, 1955, 1964, p.55]. Since Theodosius II was already identified as the 45th Emperor, there is no number left for Valentinian (Emperor since 425), let alone Constantius III or John, who had been legitimate Emperors of the West. From Marcian to Maurice, the numbers only work if we then ignore all the rest of the Western Emperors , out of nine of which four were even recognized by the East. So Bede doesn't recognize any.
As it happens, it looks like Bede has gotten his numbered list from Orosius, who wrote the Historiarum Adversum Paganos Libri VII, "Seven Books of Histories Against the Pagans" (or the Hormesta). This was written around 418 AD and thus ends in the reigns of Honorius and Theodosius II. It was a popular book in the Middle Ages, with almost two hundred surviving manuscripts, which is extraordinary, with translations into several languages, including English and Arabic -- where the latter made it accessible to Ibn Khaldûn . It does not have much favor, however, with modern historians, and is not issued in popular editions (such as Penguin Classics). Unlike Bede, Orosius sometimes discusses the nature of his numbering, for instance that Constantius II was the 35th Emperor "along with his brothers, Constantine and Constans," but they receive no number in their own right. One curious detail is that Claudius is "the third Emperor after Augustus," where Bede has him as the 4th Emperor, but both Orosius and Bede number Diocletian as #33. It looks like Orosius may have shifted from the number of the Emperor "after Augustus" to a numbering beginning with Augustus as the first, while Bede has the whole sequence regularized in the latter form. But there are also some actual disagreements. To Orosius, Gratian was the 39th Emperor (40th for Bede), Arcadius and Honorius, the 41st (43th and 44th for Bede). So Bede is not mechanically reproducing the assignments of Orosius [cf. Seven Books of History against the Pagans, Liverpool University Press, 2010]. This is a matter of some interest that I have never seen discussed.
Although writing in the 7th and 8th centuries (673-735), in the days of multiple Anglo-Saxon kingdoms in Britain , Bede nevertheless had a strong sense of the continued existence of the Roman Empire. He knows that the Empire is now centered in Christian Constantinople, and his awareness of this is strong enough that it actually erases the existence of the last Western Emperors. The idea common now that the Roman Empire fell in 476, wouldn't have made sense to Bede. He didn't even recognize the Emperor who "fell," Romulus Augustulus, as a successor of Augustus (neither did the East, for that matter). Ephemeral and puppet Emperors (whether in the 2nd or 5th centuries) don't make the cut in his reckoning. This is of a piece with most of the rest of Mediaeval opinion and perception, East and West. Since the Schism of 1054 between the Latin and the Greek Churches had not occurred yet, Bede would have seen the contemporary Emperor (a late Heraclian , mostly) invested with all the aura and authority of Constantine the Great.
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Rome and Romania, 27 BC-1453 AD, Note 5
The 2004 movie King Arthur uses some of Littleton and Malcor's information to rework the Arthur legend into something like real history. However, its use of it, and of other history, although meriting an A for effort, involves some confusions and anachronisms. In the movie, the Iazyges are called "Sarmatians," which they were, but the more general name obscures the unique experience of the Iazyges in being settled and assimilated as Roman soldiers. Indeed, that circumstance is ignored, as the movie shows the Sarmatians apparently still living out on the steppe (in yurts) and somehow still obliged in the 5th century to furnish draftees to the Roman army. The Romans, however, were never in any position to send press gangs out onto the steppe, and such a foray in the 5th century, through Germans and Huns, is unbelievable. Nor is there any reason why Sarmatians well beyond Roman borders should pay any attention to obligations assumed three centuries previously. But the plot of the movie requires that the Saramatians feel exiled during their service in Britain. Instead, the Iazyges, men, women, and children, would have all been settled in Britain; the veterans all would have been given Roman Citizenship as the reward of their service; and by the fourth century they would have felt as Roman and/or British as anyone. The yearning of Arthur's men to go home is thus a purely fictional device. That Arthur himself still bears the name of Artorius Castus, his ancestor, is a fictional device also, but actually a rather clever and not impossible one.
The background offered in the movie about Sarmatian service in the Roman army leaves out that this involved the war fought by Marcus Aurelius featured in the movie Gladiator. A tribute to Gladiator might have been made but isn't. Instead, we get a gross anachronism, as the shields of what would have been Marcus's army in 175 AD already bear the Chi-Rho symbol of Constantine's Christianity. This may have just been a matter of economy in the prop department, where all the shields were prepared for the 5th century army. However, even this was a mistake, since we know from the Notitia Dignitatum that there were a great many designs used on Roman shields in the Christian Empire, including, remarkably, the first attested instance of the Chinese swirling Yin-Yang symbol. Shields were unique and distinctive to the units.
Beyond this, almost all the history in the movie is confused. The Western Emperor is not even mentioned, and the Pope is portrayed as directing political and military events. This is what Mediaeval Popes wanted to do, but it has nothing to do with the 5th or 6th centuries, when the Popes had no such power and would not have imagined that they did. Actual Italian Romans are portrayed unpleasantly, which creates a distinction (and a conflict) that wouldn't have existed in Late Antiquity. In general, Romans were Romans -- the movie perpetuates the idea that "Rome" meant the City, when this limitation was long gone. More importantly, the Romans never deliberately withdrew from Britain, and certainly not as late or as callously as shown in the movie. The usurper Constantine (407-411) stripped Britain of legions in order to invade Gaul and seize the Throne. When he was defeated, Honorius had to inform the British that, with the Suevi, Vandals, and Alans raging across Gaul and Spain, the forces simply did not exist to re-garrison Britain. Since the battle of Badon Hill is supposed to have happened eighty to a hundred years later, there is a fair bit of history that the movie reduces, in effect, to a couple of days. Finally, we have Saxons so confused or foolish as to land in Britain north of Hadrian's Wall. This would not have done them much good (as is obvious in the movie) and was way, way out of their way. The Saxons, Angles, and Jutes all crossed the North Sea and landed well south of the Wall. Only Vikings from Norway would later show any interest in the future Scotland . Finally, an early sequence in the movie has Arthur venturing north of the Wall to retrieve a Roman settler. What is this guy doing there? And how could his estate survive, surrounded by hostile Picts, especially when he treats the locals with appalling cruelty? This doesn't pass minimal standards of credibility.
The latter device may have some historical connection. We are told that St. Patrick wrote a letter to Ceretic (or Coroticus), a Briton or Roman governing the local tribe of the British Damnonii, complaining about his practice of selling Irish captives as slaves to the Picts. Ceretic was the beginning of the British Kings of Strathclyde . This is the right era, since Ceretic is supposed to have reigned c.450's-470's, while St. Patrick died in 461, and the right place, north of Hadrian's Wall. If this is what the movie is referring to, it fails to distinguish between Britons, Picts, and Irish; and Ceretic is certainly in no need of being rescued by Romans for cruelty to those he ruled. The cruelty would have been to one set of pagans (i.e. the Irish in Scotland, the Scots, who were still pagan until converted by St. Columba [d.597], although St. Patrick was meanwhile converting the Irish in Ireland) being sold to another set of pagans (the Picts). Although St. Patrick's solicitude for the Irish anywhere is understandable, Christians in general did not worry about enslaving pagans -- which is why the word "slave" is derived from "Slav," who were enslaved long before they converted to Christianity.
The peculiar or anachronistic devices in the movie all serve to create dramatic tension and conflict, which is well within understandable poetic license. In this it is perhaps moderately successful, but some distortions seem gratuitous, especially the negative impression left of Christianity. Pagans were generally tolerated at the time (not tortured or starved to death), but the Army and probably the Britons were overwhelming Christian. That Arthur found himself on the wrong side of one of the obscure contemporary theological disputes is a cute touch (based on the British monk Pelagius, whose teaching was condemned in 418) but is obviously introduced merely as a device to alienate him from the Church and from Rome. This fits the plot of the movie but cannot have had much to do with the substantive problems facing 5th century Britons. The matter in dispute, free will versus predestination, was never wholly settled to the complete denial of one or the other. Indeed, Catholic orthodoxy was more favorable to free will than Protestants like John Calvin would be later.
Rome and Romania, 27 BC-1453 AD, Note 6
Sancta Sophia is
Latin for "Saint Sophia" or, since sophía is Greek for " wisdom ," "Sacred Wisdom." This is not the form of the name usually seen. Justinian spoke Latin, but in time
Greek became the Court language at Constantinople. In Greek the Church was Hágia Sophía,
, which locally would have been the name used from the beginning.
As Mediaeval Greek developed, however, the "h" ceased to be pronounced and the "g" softened into a "y."
This later pronunciation is even preserved in the Turkish name of the Church, Aya Sofya. For many years, the version I seem to remember seeing was Santa Sophia, which would have to be Italian. Because of the later Italian influence in Romania, this version of the name certainly would have been used. Or, I may have just been seeing "St. Sophia" and thought of it as Santa because of living amid all the Spanish place names in California , where sancta has also become santa (e.g. Santa Barbara, Santa Maria, Santa Cruz, etc.).
As it happens, it must be the case that I was seeing "Santa Sophia," because I see it now, in the Fourteen Byzantine Rulers by Michael Psellus [translated by E.R.A. Sewter, Penguin, 1966]. In the translator's introduction we've got "Santa Sophia" on page 10.
Rome and Romania, 27 BC-1453 AD, Note 7
The declension of
seems anomalous. Procopius uses
as the accusative plural [History of the Wars, Book III, xi, 16, Loeb Classical Library, Procopius, Volume II,
Harvard U. Press, 1916, 2006, p.104], which would correspond to the nominative plural
that I use above.
However, I would expect the accusative plural to be
(and so the nominative plural
), based on the Third Declension paradigm of
[A New Introduction to Greek, Chase and Phillips, Harvard U. Press, 1965, p.18].
The retension of the omega in the stem would make sense if
were a participle based on the contract verb
(which contracts to
); but the accent and the endings are inconsistent with it being a participle -- the accusative plural would be
.
The only explanation I can think of is that the alpha from that verb was in some sense retained in the noun, and the omega is still the result of a contraction. This theory may be supported by a term for "galley" that is used by Constantine VII Porphyrogenitus, which is
[De Administrando Imperio, Greek text edited by Gy. Moravcsik, Dumbarton Oaks Texts, 1967, 2008, p.246]. So we have a fixed root in
.
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Which snooker player who reached the semi final of the 2013 World Snooker Championship Was born in Chester in 1982 ? | Ricky Walden - ChesterChron
Sport
Ricky Walden
Ricky Walden is a Chester-born professional snooker player. He has won two ranking titles - the 2008 Shanghai Masters and 2012 Wuxi Classic - and reached the semi-finals of the 2013 World Championship.
| Ricky Walden |
Which TV series, launched in 1978 saw Bob Hoskins as Arthur Parker, a sheet music Salesman attempting to make his dreams fit the promises of the lyrics he carries ? | Ricky Walden - ChesterChron
Sport
Ricky Walden
Ricky Walden is a Chester-born professional snooker player. He has won two ranking titles - the 2008 Shanghai Masters and 2012 Wuxi Classic - and reached the semi-finals of the 2013 World Championship.
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This becomes especially evident at the climatic margins of the earth, i.e., desert and tundra. Under temperate conditions, the effects of climate are often muted and intermingled so that the relationships between stimuli and reaction are difficult to isolate, but under extreme conditions the relationship becomes more evident. Extremes constitute the norm in many areas within high mountains; for this reason, a basic knowledge of climatic processes and characteristics is a prerequisite to an understanding of the mountain milieu. The climate of mountains is kaleidoscopic, composed of myriad individual segments continually changing through space and time. Great environmental contrasts occur within short distances as a result of the diverse topography and highly variable nature of the energy and moisture fluxes within the system. While in the mountains, have you ever sought refuge from the wind in the lee of a rock? If so, you have experienced the kind of difference that can occur within a small area. Near the margin of a species' distribution, such differences may decide between life and death; thus, plants and animals reach their highest elevations by taking advantage of microhabitats. Great variations also occur within short time spans. When the sun is shining it may be quite warm, even in winter, but if a passing cloud blocks the sun, the temperature drops rapidly. Therefore, areas exposed to the sun undergo much greater and more frequent temperature contrasts than those in shade. This is true for all environments, of course, but the difference is much greater in mountains because the thin alpine air does not hold heat well and allows a larger magnitude of solar radiation to reach the surface. In more general terms, the climate of a slope may be very different from that of a ridge or valley. When these basic differences are compounded by the infinite variety of combinations created by the orientation, spacing, and steepness of slopes, along with the presence of snow patches, shade, vegetation, and soil, the complexity of climatic patterns in mountains becomes truly overwhelming. Nevertheless, predictable patterns and characteristics are found within this heterogeneous system; for example, temperatures normally decrease with elevation while cloudiness and precipitation increases, it is usually windier in mountains, the air is thinner and clearer, and the sun�s rays are more intense. The dynamic effects of mountains also have a major impact on regional and local airflow patterns that impact the climates of adjacent regions. Their influence may be felt for hundreds or thousands of kilometers, making surrounding areas warmer or colder, wetter or drier than they would be if the mountains were not there. The exact effect of the mountains depends upon their location, size, and orientation with respect to the moisture source and the direction of the prevailing winds. The 2,400 kilometer long (1,500 mi.) natural barrier of the Himalayas permits tropical climates to extend farther north in India and southeast Asia than they do anywhere else in the world (Tang and Reiter 1984). One of the heaviest rainfall records in the world was measured at Cherrapunji, near the base of the Himalayas in Assam. This famous weather station has an annual rainfall of 10,871 mm (428 in.). Its record for a single day is 1,041 mm (41 in.) as much as Chicago or London receives in an entire year (Kendrew 1961)! On the north side of the Himalayas, however, there are extensive deserts and the temperatures are abnormally low for the latitude. This contrast in environment between north and south is due almost entirely to the presence of the mountains, whose east west orientation and great height prevent the invasion of warm air into central Asia just as surely as they prevent major invasions of cold air into India. It is no wonder that the Hindus pay homage to Siva, the great god of the Himalayas. EXTERNAL CLIMATIC CONTROLS Mountain climates occur within the framework of the surrounding regional climate and are controlled by the same factors, including latitude, altitude, continentality, and regional circumstances such as ocean currents, prevailing wind direction, and the location of semi-permanent high and low pressure cells. Mountains themselves, by acting as a barrier, affect regional climate and modifying passing storms. Our primary concern is in the significance of all these more or less independent controls to the weather and climate of mountains. Latitude The distance north or south of the equator governs the angle at which the sun's rays strike the earth, the length of the day, thus the amount of solar radiation arriving at the surface. In the tropics, the sun is always high overhead at midday and the days and nights are of nearly equal length throughout the year. As a result, there is no winter or summer; one day differs from another only in the amount of cloud cover. There is an old adage, "Night is the winter of the tropics." With increasing latitude, however, the height of the sun changes during the course of the year, and days and nights become longer or shorter depending on the season (Fig. 4.1). Thus, during summer solstice in the northern hemisphere (June 21) the day is 12 hours, 7 minutes long at Mount Kenya on the equator; 13 hours, 53 minutes long at Mount Everest in the Himalayas (28 �N l a t . ) ; 1 5 h o u r s , 4 5 m i n u t e s l o n g a t t h e M a t t e r h o r n i n t h e S w i s s A l p s ( 4 1 �N l a t . ) ; a n d 2 0 h o u r s , 1 9 m i n u t e s l o n g a t M o u n t M c K i n l e y i n A l a s k a ( 6 3 �N l a t . ) ( L i s t 1 9 5 8 ) . D u r i n g t h e w i n t e r , o f c o u r s e , t h e l e n g t h o f d a y a n d n i g h t a t a n y g i v e n l o c a t i o n a r e r e v e rsed. Consequently, the distribution of solar energy is greatly variable in space and time. In the polar regions, the extreme situation, up to six months of continuous sunlight follow six months of continuous night. Although the highest latitudes receive the lowest amounts of heat energy, middle latitudes frequently experience higher temperatures during the summer than do the tropics. This is due to moderate sun heights and longer days. Furthermore, mountains in middle latitudes may experience even greater s o l a r i n t e n s i t y t h a n l o w l a n d s , b o t h b e c a u s e t h e a t m o s p h e r e i s t h i n n e r a n d b e c a u s e t h e s u n ' s r a y s s t r i k e s l o p e s o r i e n t e d t o w a r d t h e s u n a t a h i g h e r a n g l e t h a n l e v e l s u r f a c e s . A s u r f a c e i n c l i n e d 2 0 � t o w a r d t h e s u n i n m i d d l e l a t i t u d e s r e c e i v e s a b o u t t w i c e a s much radiation during the winter as a level surface. It can be seen that slope angle and orientation with respect to the sun are vastly important and may partially compensate for latitude. The basic pattern of global atmospheric pressure systems reflects the role of latitude in determining climatic patterns (Fig. 4.2). These systems are known as the equatorial low (0 � 2 0 � l a t . ) , s u b t r o p i c a l h i g h ( 2 0 � 4 0 � l a t . ) , p o l a r f r o n t a n d s u b p o l a r l o w s ( 4 0 � 7 0 � l a t . ) , a n d p o l a r h i g h ( 7 0 � 9 0 � l a t . ) . T h e e q u a t o r i a l l o w a n d s u b p o l a r l o w a r e z o n e s o f r e l a t i v e l y h e a v y p r e c i p i t a t i o n w h i l e t h e s u b t r o p i c a l h i g h a n d p o l a r h i g h a r e a r e as of low precipitation. These pressure zones create the global circulation system (Fig. 4.2). General circulation dictates the prevailing wind direction and types of storms that occur latitudinally. The easterly Trade Winds have warm, very moist convective (tropical) storms, which seasonally follow the direct rays of the sun. The subtropical highs have slack winds and clear skies year round. The subpolar lows and polar front are imbedded in the Westerlies, bringing cool, wet cyclonic storms and large seasonal temperature fluctuations. The cold and dry Polar Easterlies develop seasonally, dissipating in the summer season. The distribution of mountains in the global circulation system has a major influence on their climate. Mountains near the equator, such as Mount Kilimanjaro in East Africa, Mount Kinabalu in Borneo, or Mount Cotopaxi in Ecuador, are under the influence of the equatorial low and receive precipitation almost daily on their east-facing windward slopes. By contrast, mountains located around 30 � l a t i t u d e m a y e x p e r i e n c e c o n s i d e r a b l e a r i d i t y ; a s d o t h e n o r t h e r n H i m a l a y a s , T i b e t a n h i g h l a n d s , t h e P u n a d e A t a c a m a i n t h e A n d e s , t h e A t l a s M o u n t a i n s o f N o r t h A f r i c a , t h e m o u n t a i n s o f t h e s o u t h w e s t e r n U n i t e d S t a t e s , a n d n o r t h e r n M e x i c o ( T r o l l 1 9 6 8 ) . F a r t h er poleward, the Alps, the Rockies, Cascades, the southern Andes, and the Southern Alps of New Zealand again receive heavy precipitation on westward slopes facing prevailing Westerlies. Leeward facing slopes and lands down wind are notably arid. Polar mountains are cold and dry year round. Altitude Fundamental to mountain climatology are the changes that occur in the atmosphere with increasing altitude, especially the decrease in temperature, air density, water vapor, carbon dioxide, and impurities. The sun is the ultimate source of energy, but little heating of the atmosphere takes place directly. Rather, solar radiation passes through the atmosphere and is absorbed by the earth�s surface. The earth itself becomes the radiating body, emitting long-wave energy that is readily absorbed by CO2, H2O and other greenhouse gases in the atmosphere. The atmosphere, therefore, is heated directly by the earth, not by the sun. This is why the highest temperatures usually occur near the earth�s surface and decrease outward. Mountains are part of the earth, too, but they present a smaller land area at higher altitudes within the atmosphere, so they are less able to modify the temperature of the surrounding air. A mountain peak is analogous to an oceanic island. The smaller the island and the farther it is from large land masses, the more its climate will be like that of the surrounding sea. By contrast, the larger the island or mountain area, the more it modifies its own climate. This mountain mass effect is a major factor in the local climate (see pp. 77 81). The density and composition of the air control its ability to absorb and hold heat. The weight or density of the air at sea level (standard atmospheric pressure) is generally expressed as 1013 mb (millibars, or 760 mm [29.92 in.] of mercury). Near the earth, pressure decreases at a rate of approximately 1 mb per 10 m (30 mm/300 m (1 in./1,000 ft.) of increased altitude. Above 5,000 m (20,000 ft.) atmospheric pressure begins to fall off exponentially. Thus, half the weight of the atmosphere occurs below 5,500 m (18,000 ft.) and pressure is halved again in the next 6,000 m (Fig. 4.3). The ability of air to hold heat is a function of its molecular structure. At higher altitudes, molecules are spaced farther apart, so there are fewer molecules in a given parcel of air to receive and hold heat. Similarly, the composition of the air changes rapidly with altitude, losing water vapor, carbon dioxide, and suspended particulate matter (Tables 4.1 and 4.2). These constituents, important in determining the ability of the air to absorb heat, are all concentrated in the lower reaches of the atmosphere. Water vapor is the chief heat absorbing constituent, and half of the water vapor in the air occurs below an elevation of 1,800 m (6,000 ft.). It diminishes rapidly above this point and is barely detectable at elevations above 12,000 m (40,000 ft.). The importance of water vapor as a reservoir of heat can be seen by comparing the daily temperature ranges of a desert to that of a humid area. Both areas may heat up equally during the day but, due to the relative absence of water vapor to absorb and hold the heat energy, the desert area cools down much more at night than the humid area. The mountain environment responds in a similar fashion to that of a desert, but is even more accentuated. The thin pure air of high altitudes does not effectively intercept radiation, allowing it to be lost to space. Mountain temperatures respond almost entirely to radiation fluxes, not on the temperature of the surrounding air (although some mountains receive considerable heat from precipitation processes). The sun's rays pass through the high thin air with negligible heating. Consequently, although the temperature at 1,800 m (6,000 ft.) in the free atmosphere changes very little between day and night, next to a mountain peak, the sun's rays are intercepted and absorbed. The soil surface may be quite warm but the envelope of heated air is usually only a few meters thick and displays a steep temperature gradient. In theory, every point along a given latitude receives the same amount of sunshine; in reality, of course, clouds interfere. The amount of cloudiness is controlled by distance from the ocean, direction of prevailing winds, dominance of pressure systems, and altitude. Precipitation normally increases with elevation, but only up to a certain point. Precipitation is generally heaviest on middle slopes where clouds first form and cloud moisture is greatest, decreasing at higher elevations. Thus, the lower slopes can be wrapped in clouds while the higher slopes are sunny. In the Alps, for example, the outer ranges receive more precipitation and less sunshine than the higher interior ranges. The herders in the Tien Shan and Pamir Mountains of Central Asia traditionally take their flocks higher in the winter than in summer to take advantage of the lower snowfall and sunnier conditions at the higher elevations. High mountains have another advantage with respect to possible sunshine: in effect, they lower the horizon. The sun shines earlier in the morning and later in the evening on mountain peaks than in lowlands. The same peaks, however, can raise the horizon for adjacent land, delaying sunrise or creating early sunsets. Continentality The relationship between land and water has a strong influence on the climate of a region. Generally, the more water dominated an area is, the more moderate its climate. An extreme example is a small oceanic island, on which the climate is essentially that of the surrounding sea. The other extreme is a central location on a large land mass such as Eurasia, far removed from the sea. Water heats and cools more slowly than land, so the temperature ranges between day and night and between winter and summer are smaller in marine areas than in continental areas. The same principle applies to alpine landscapes, but is intensified by the barrier effect of mountains. We have already noted this effect in the Himalayas between India and China. The Cascades in the Pacific Northwest of the United States provide another good example. This range extends north south at right angles to the prevailing westerly wind off the Pacific Ocean. As a result, western Oregon and Washington have a marine dominated climate characterized by moderate temperatures, cloudiness, and persistent winter precipitation (Schermerhorn 1967). The eastern side of the Cascades, however, experiences a continental climate characterized by hot summers and cold winters with low precipitation. In less than 85 km (50 mi.) across the Cascades the vegetation changes from lush green forests to dryland shrubs and grasses (Price 1971a). This spectacular transect provides eloquent testimony to the vast differences in climate that may occur within a short horizontal distance. The presence of the mountains increases the precipitation in western Oregon and Washington at the expense of that received on the east side. Additionally, the Cascades inhibit the invasion of cold continental air to the Pacific side. At the same time, their obstruction of mild Pacific air allows the continental climate to extend much closer to the ocean than it otherwise would (Church and Stephens 1941). It must be stressed that the significance of mountains in accentuating continentality depends upon their orientation with respect to the ocean and prevailing winds. Western Europe has a climate similar to the Pacific Northwest, but the east west orientation of the European mountains allows the marine climate to extend far inland, resulting in a milder climate throughout Europe. The effect of continentality on mountain climate is much like that on climate generally. Mountains in the interior of continents experience more sunshine, less cloudiness, greater extremes in temperatures, and less precipitation than mountains along the coasts. This would seem to add up to a more rigorous environment, but there may be extenuating circumstances. The extra sunshine in continental regions tends to compensate for the lower ambient temperatures, while the greater cloudiness and snowfall in coastal mountains tend to make the environment more rigorous for certain organisms than is suggested by the moderate temperatures of these regions. The fact that trees generally grow to higher altitudes on continental mountains than coastal mountains is a good, if rough, indication of the importance of these compensating circumstances to regional mountain climate and ecology (see pp. 277 82). People, too, find that the bright sunshine typical of high mountain slopes can make the low air temperatures of the alpine environment tolerable. During the winter in the Alps, for instance, when it is cloudy and rainy in the surrounding lowlands and foggy in the lower valleys, the mountain slopes and higher valleys may bask in brilliant sunshine. It is for this reason that lodges and tourist facilities in the Alps are generally located higher up on the slopes and in high valleys. Health resorts and sanatoriums also take advantage of the intense sunlight and clean dry air of the high mountains (Hill 1924). Barrier Effects Several examples of how mountains serve as barriers have already been given. The Himalayas and Cascades are both outstanding climatic divides that create unlike conditions on their windward and leeward sides. All mountains serve as barriers to a greater or lesser extent, depending on their size, shape, orientation, and relative location. Specifically, the barrier effect of mountains can be grouped under the following subheadings: (1) damming, (2) deflection and funneling, (3) blocking and disturbance of the upper air, (4) forced ascent, and (5) forced descent. Damming Damming of stable air occurs when the mountains are high enough to prevent the passage of an air mass across them. When this happens, a steep pressure gradient may develop between the windward and leeward sides of the range (Stull 1988). The effectiveness of the damming depends upon the depth of the air mass and the elevation of the lowest valleys or passes (Smith 1979). A shallow, ground hugging air mass may be effectively dammed, but a deep one is likely to flow through higher gaps and transverse valleys to the other side. In the Los Angeles Basin of southern California, for example, the San Gabriel, San Bernardino, and San Jacinto Mountains act as dams for marine air blowing from the Pacific Ocean. As the automobile-based culture of southern California pollutes the air, the pollution can only be vented as far east as the towns of San Bernardino and Riverside at the base of the mountains. In the absence of a strong wind system, the pollution can build up to dangerous levels as the air stagnates behind the mountain barrier. Deflection and Funneling When an air mass is dammed by a mountain range, the winds can be deflected around the mountains if topographic gaps exist. Deflected winds can have higher velocities as their streamlines are compressed, the so-called �Bernoulli-effect� (Davidson et al. 1964; Chen and Smith 1987). In winter, polar continental air coming down from Canada across the central United States is channeled to the south and east by the Rocky Mountains. Consequently, the Great Plains experience more severe winter weather than does the Great Basin (Church and Stephens 1941; Baker 1944). Similarly, as the cold air progresses southward, the Sierra Madre Oriental prevents it from crossing into the interior of Mexico. The east coast of Mexico also provides an excellent example of deflection in the summer: the northeast trade winds blowing across the Gulf of Mexico cannot cross the mountains and are deflected southward through the Isthmus of Tehuantepec, where they become northerly winds of unusual violence (Hurd 1929). Maritime air from the northeastern Pacific is deflected north and south around the Olympic Mountains (Fig. 4.4). To the north of the Olympics where wind is also deflected south from the Vancouver Island Ranges, these winds converge into a topographic funnel of the Strait of Juan de Fuca, resulting in much higher wind speeds (Ramachandran et al. 1980). A similar phenomenon occurs around the Southern Alps of New Zealand, with winds funneled through Cook Strait between the islands (Reid 1996; 1997; Sturman and Tapper 1996). These perturbations to the local airflow influence transit storms, making local forecasts difficult. The same funneling effect occurs over mountain passes as winds are deflected around peaks or ridges on either side of the pass. In the Los Angeles Basin example given above, the San Gorgonio Pass (750 m) is the lowest divide through the damming mountains. Wind speeds average 7.2 m/s and are very consistent, resulting in very active aeolian processes and a booming wind power generating industry (Williams and Lee 1995). Blocking and Disturbance of the Upper Air High pressure areas prevent the passage of storms. Large mountain ranges such as the Rockies, Southern Alps and Himalayas are very efficient at blocking storms, since they are often the foci of anti-cyclonic systems (because the mountains are a center of cold air), the storms must detour around the mountains (Kimurak and Manins 1988; McCauley and Sturman 1999). In addition to the effect of blocking, mountains cause other perturbations to upper air circulation and subsequent effects on clouds and precipitation (Chater and Sturman 1998). This occurs on a variety of scales: locally, with the wind immediately adjacent to the mountains; on an intermediate scale, creating large waves in the air; and on a global basis, with the larger mountain ranges actually influencing the motion of planetary waves (Bolin 1950; Gambo 1956; Kasahara 1967; Carruthers and Hunt 1990; Walsh 1994) and the transport momentum of the total circulation (White 1949; Wratt et al. 1996). Disturbance of the air by mountains generally creates a wave pattern much like that found in the wake of a ship. This may result in the kind of clear air turbulence feared by airline pilots (Alaka 1958; Colson 1963) or it may simply produce lee waves with their beautiful lenticular (standing wave) clouds, associated with mountains the world over (Fig. 4.41; Scorer 1961). An area of low precipitation occurs immediately lee of the Rocky Mountains: the area immediately to the lee is frequently cloud-free and receives low precipitation, while regions farther east are cloudy and wetter. This pattern corresponds to an intermediate-scale wave whose trough is located close to the lee of the mountains and whose ridge is located over the eastern United States (Reiter et al. 1965; Dirks et al. 1967 Durran 1990; Czarnetzki and Johnson 1996). Mountains have additional influence on the location and intensity of the jet streams, which have vastly important effects on the kind of weather experienced at any particular place and time. The jet streams may also split to flow around the mountains; they rejoin to the lee of the range, where they often intensify and produce storms (Reiter 1963; Buzzi et al. 1987). In North America these storms, known as "Colorado Lows" or "Alberta Lows," reach their greatest frequency and intensity in the spring season, sometimes causing heavy blizzards on the Great Plains and Prairie provinces. The tornadoes and violent squall lines that form in the American Midwest also result from the great contrasts in air masses which develop in the confluence zone to the lee of the Rockies (McClain 1958; Henz 1972; Chung et al 1976). The splitting of the jet streams by the Himalayas has the effect of intensifying the barrier effect in this region and produces a stronger climatic divide. In addition, the presence of the Himalayas reverses the direction of the jet streams in early summer. The Tibetan Highlands act as a "heat engine" in the warm season, with a giant chimney in their southeastern comer through which heat is carried upward into the atmosphere. This causes a gradual warming of the upper air above the Himalayas during the spring, which weakens and finally eliminates the subtropical westerly jet. The easterly tropical jet then replaces the subtropical jet during the summer. Thus, the Himalayas are intimately connected with the complex interaction of the upper air and the development of the Indian monsoon (Flohn 1968; Hahn and Manabe 1975; Reiter and Tang 1984; Tang and Reiter 1984; Kurtzbach et al. 1989). Forced Ascent When moist air blows perpendicular to a mountain range, the air is forced to rise; as it does, it is cooled. Eventually the dew point is reached, condensation occurs, clouds form, and precipitation results (see p. 94). This increased cloudiness and precipitation on the windward slope is known as the orographic effect (Browning and Hill1981). Some of the rainiest places in the world are mountain slopes in the path of winds blowing off relatively warm oceans. There are many examples and could be given from every continent, but the mountainous Hawai�ian Islands will serve as an illustration. The precipitation over the water around Hawai�i averages about 650 mm (25 in.) per year, while the islands average 1,800 mm (70 in.) per year. This is largely due to the presence of mountains, many of which receive over 6,000 mm (240 in.) per year (Nullet and MacGranaghan 1988). At Mount Waialeale on Kauai, the average annual rainfall reaches the extraordinary total of 12,344 mm (486 in.), i.e., 12.3 m (40.5 ft.)! This is the highest recorded annual average in the world (Blumenstock and Price 1967). In the continental United States, the heaviest precipitation occurs at the Hoh Rain Forest on the western side of the Olympic Mountains in Washington, where an average of 3,800 mm (150 in.) or more is received annually as storms are funneled up valleys oriented towards winter storm tracks (Fig. 4.4; Phillips 1972; Collie and Mass 1996). Forced Descent Atmospheric pressure conditions determine whether the air, after passing over a mountain barrier, will maintain its altitude or whether it will be forced to descend. If the air is forced to descend, it will be heated by compression (adiabatic heating) and will result in clear, dry conditions. This is a characteristic phenomenon in the lee of mountains and is responsible for the famous foehn or chinook winds (see pp. 114 19). The important point here is that the descent of the air is induced by the barrier effect and results in clear dry conditions that allow the sunshine to reach the ground with much greater intensity and frequency than it otherwise would. This can produce "climatic oases" in the lee of mountain ranges, e.g., in the Po Valley of Italy (Thams 1961). Although heavy precipitation may occur on the windward side of mountains where the air is forced to rise, the leeward side may receive considerably less precipitation because the air is no longer being lifted (it is descending) and much of the moisture has already been removed. The so-called rainshadow effect is an arid area on the leeward or down-wind side of mountains. To the lee of Mount Waialeale, Kauai, precipitation decreases at the rate of 3,000 mm (118 in.) per 1.6 km (1 mi.) along a 4 km (2.5 mi.) transect to Hanalei Tunnel (Blumenstock and Price 1967). In the Olympic Mountains, precipitation decreases from the windward side to less than 430 mm (17 in.) at the town of Sequim on the leeward, a distance of only 48 km (30 mi.) (Fig. 4.4; Phillips 1972). Since both of these leeward areas are maritime, they are still quite cloudy; under more continental conditions, there would be a corresponding increase in sunshine as precipitation decreases, especially where the air is forced to descend on the leeward side. MAJOR CLIMATIC ELEMENTS The discussion so far has covered the more or less independent climatic controls of latitude, altitude, continentality, and the barrier effect of mountains. These factors, along with ocean currents, pressure conditions, and prevailing winds, control the distribution of sunshine, temperature, humidity, precipitation, and local winds. The climatic elements of sunshine, temperature, and precipitation are essentially dependent variables reflecting the major climatic controls (Thompson 1990). They interact in complex ways to produce the day to day weather conditions experienced in different regions. In mountains, these processes frequently occur on small enough scales to be invisible to standard measurement networks used in weather forecasting, while their impact can be serious. Solar Radiation The effect of the sun becomes more exaggerated and distinct with elevation. The time lag, in terms of energy flow, between stimulus and reaction is greatly compressed in mountains. Looking at the effect of the sun in high mountains is like viewing its effects at lower elevations through a powerful magnifying glass. The alpine environment has perhaps the most extreme and variable radiation climate on earth. The thin clean air allows very high solar intensities, and the topographically complex landscape provides surfaces with a range of different exposures and shadowing from nearby peaks. Although the air next to the ground may heat up very rapidly under the direct rays of the sun, it may cool just as rapidly if the sun's rays are blocked. Thus, in the sun's daily and seasonal march through the sky, mountains experience a continually changing pattern of sunshine and shadow, influencing the energy flux in the ecosystem (Saunders and Bailey 1994; Germino and Smith 2000). The factors to consider are the amount of sunlight received, the quality or kinds of radiation, and the effect of slopes upon this energy. Amount of Solar Radiation The most striking aspect of the vertical distribution of solar radiation in the atmosphere is the rapid depletion of short wavelength energy at lower elevations. This attenuation results from the increased density of the atmosphere and the greater abundance of water vapor, carbon dioxide, and particulate matter near the earth�s surface (Tables 4.1 and 4.2). The atmosphere acts as a filter, reducing the intensity of some wavelengths and screening out others altogether. Consequently, the amount of energy reaching the surface at sea level is only about half that at the top of the atmosphere (Fig. 4.5). High mountains protrude through the lower atmospheric blanket and thus have the potential for receiving much higher levels of solar radiation, as well as cosmic ray and ultraviolet radiation (Solon et al. 1960). The first, and very vital, screening of solar energy takes place in the stratosphere where most of the ultraviolet radiation from the sun is absorbed by the ozone layer. Greenhouse gases absorb infrared solar radiation, but visible light passes through to the surface except when there is cloud-cover. The visible light is scattering as it strikes molecules of air, water, and dust. Scattering is a selective process, principally affecting the wavelengths of blue light. Have you ever noticed how much bluer or darker the sky looks in high mountains than it appears at lower elevations? That is because there is more water and pollutants at lower altitudes, scattering light of other wavelengths, which dilutes the blue color (Valko 1980). Clouds, of course, are the single most important factor in controlling variable receipt of solar energy at any given latitude and in mountains (Saunders and Bailey 1994). Because of the atmospheric filtering of solar radiation, the more atmosphere the sunlight p a s s e s t h r o u g h , t h e g r e a t e r t h e a t t e n u a t i o n . C o n s e q u e n t l y , t h e s u n i s m o s t i n t e n s e w h e n i t i s d i r e c t l y o v e r h e a d ( 9 0 �) a n d i t s r a y s c o n c e n t r a t e d i n t h e s m a l l e s t a r e a . W h e n t h e s u n i s o n l y 4 � a b o v e t h e h o r i z o n , s o l a r r a y s h a v e t o p e n e t r a t e a n a t m o s p h e r e m o r e than twelve times as thick as when the sun is directly overhead. This explains why it is possible to look directly at the orange ball of the sun at sunrise and sunset without being blinded. Since mountains stand above the lower reaches of the atmosphere, the solar radiation is much more intense since it has passed through less atmosphere (Fig. 4.6). Table 4.3 gives values for daily global radiation received at different elevations in the Austrian Alps. Solar intensity increases with altitude under all conditions, but the greatest differential between high and low-level stations occurs when skies are overcast. In summer, when skies are clear, there is 21% more radiation at 3,000 m (10,000 ft.) than at 200 m (650 ft.); but when skies are overcast, there is 160% more radiation at the higher elevation. Overcast skies are much more efficient at filtering out shortwave energy, so less reaches the lower elevation (Geiger 1965). The solar constant is defined as the average amount of total radiation energy received from the sun at the top of the atmosphere on a surface perpendicular to the sun's rays (Fig. 4.5). This is approximately 1365 Wm-2 (2 calories per square centimeter per min). At midday under clear skies the total energy flux from the sun in high mountains may approach the solar constant. Angstrom and Drummond (1966) have calculated the theoretical upper limit on high mountains to be 1263 Wm-2 (1.85 cal. cm-2 min-1), but several field investigations have recorded readings even slightly above the solar constant (Turner 1958a; Gates and Janke 1966; Bishop et al. 1966; Terjung et al. 1969a, b; Marcus and Brazel 1974). Turner (1958a) measured instantaneous values as high as 1529 Wm-2 (2.25 cal. cm-2 min-1) in the Alps, 112% of the solar constant! The additional radiation comes from sunlight reflected from cloud bottoms and snow on higher slopes. Quality of Solar Radiation The alpine environment receives considerably more ultraviolet radiation (UV) than low elevations. If only wavelengths shorter than 320 m�m . a r e c o n s i d e r e d , t h e n a l p i n e a r e a s r e c e i v e 5 0 % m o r e U V d u r i n g s u m m e r s o l s t i c e t h a n d o e s s e a l e v e l ( C a l d w e l l 1 9 8 0 ) . L a t e r i n t h e y e a r , w h e n t h e s u n i s l o w e r i n t h e s k y ( a n d t h e r e f o r e p a s s e s t h r o u g h d e n s e r a t m o s p h e r e ) , a l p i n e a r e a s r e c e i v e 1 2 0 % m o r e U V t h an areas at sea level (Gates and Janke 1966). The relatively greater quantity of UV received at high elevations has special significance for human comfort and biological processes. A proverb in the Andes says, �Solo los gringos y los burros caminan en el sol� (�Only foreigners and donkeys walk in the sunshine�). This saying indicates the respect the Andeans give to the efficacy of the sun at high altitudes (Prohaska, 1970). UV has been cited for a number of harmful effects, ranging from the retardation of growth in tundra plants (Lockart and Franzgrote 1961; Caldwell 1968; Runeckles and Krupa 1994) to cancer in humans (Blum 1959). UV is mainly responsible for the deep tans of mountain dwellers and the painful sunburns of neophytes who expose too much of their skin too quickly. The wavelengths responsible for sunburn occur primarily between 280 and 320 m�m , w h i l e t h o s e r e s p o n s i b l e f o r d a r k e n i n g t h e s k i n o c c u r b e t w e e n 3 0 0 a n d 4 0 0 m�m . W a v e l e n g t h s l e s s t h a n 3 2 0 m�m a r e k n o w n t o c a u s e s k i n c a n c e r a n d w e a k e n t h e i m m u n e s y s t e m ( C h a p m a n a n d W e r k e m a 1 9 9 5 ) . U V h a s b e e n i n c r e a s i n g i n a l p i n e a r e a s i n r e c e n t d e c a d e s , apparently a response to the depletion of stratospheric ozone (Blumenthaler and Ambach 1990). Effect of Slopes on Solar Radiation The play of the sun on the mountain landscape is like a symphony. As the hours, days, and seasons follow one another, the sun bursts upon some slopes with all the strength of crescendo while the shadows lengthen and fade into diminuendo on others. The melody is continuous and ever-changing, with as many scores as there are mountain regions, but the theme remains the same. It is a study of slope angle and orientation. The closer to perpendicularly the sun's rays strike a surface, the greater their intensity. The longer the sun shines on a surface, the greater the heating that takes place (Anderson 1998). In mountains, every slope has a different potential for receiving solar radiation. This amount can be measured if the following data are known: latitude, time of year (height of sun), time of day, elevation, slope angle, and slope orientation (Gamier and Ohmura 1968, 1970; Swift 1976; Baily et al. 1989; Bowers and Bailey 1989; Huo and Bailey 1992). The basic characteristics of solar radiation on slopes are illustrated in Figure 4.7. This very useful diagram shows the situation for one latitude at four times of the year, at four slope orientations. They do not include the effects of clouds; diffuse sky radiation, or the receptiveness of different slopes to the sun's rays. The diagram also fails to reveal the shadow effects caused by the presence of ridges or peaks above a location. Most mountain slopes receive fewer hours of sunshine than a level surface, although slopes facing the sun may receive more energy than a level surface (this is particularly true at higher latitudes). In the tropics, level surfaces usually receive a higher solar intensity than slopes because the sun is always high in the sky. Whatever the duration and intensity of sunlight, the effects are generally clearly evident in the local ecology (Fig. 4.8). In the northern hemisphere, south-facing slopes are warmer and drier than north facing slopes and, under humid conditions, are more favorable for life. Timberlines go higher on south facing slopes, and the number and diversity of plants and animals are greater (Germino and Smith 2000). Humans take advantage of the sunny slopes. In the east west valleys of the Alps most settlements are located on south facing slopes. Houses are seldom found within the mid winter noonday shadow area, although they may go right up to the shadow line (Fig. 4.9; Garnett 1935, 1937). In spring north facing slopes may still be deep in snow while south facing slopes are clear. As a result, north facing slopes have traditionally been left in forest while south facing slopes are used for high pastures (Fig. 4.10). The environmental differences are so great between the sunny and shady sides of the valley that each mountain speech or dialect in the Alps has a special term for these slopes (Peattie 1936). The most frequently used are the French adret (sunny) and ubac (shade). East- and west facing slopes are also affected differently by solar radiation. Soil and vegetation surfaces are frequently moist in the morning, owing to higher humidity at night and the formation of dew or frost. On east facing slopes the sun's energy has to evaporate this moisture before the slope can heat appreciably. By the time the sun reaches the west facing slope, however, the moisture has already evaporated, so the sun's energy more effectively heats the slope. The driest and warmest slopes are, therefore, those that face toward the southwest rather than strictly south (Blumer 1910). Cloud cover, which varies latitudinally, from season to season, and according to time of day, can make a great deal of difference in the amount of solar energy received on slopes. During storms the entire mountain may be wrapped in clouds; even during relatively clear weather, mountains may still experience local clouds. In winter, stratus clouds and fog are characteristic on intermediate slopes and valleys, but these frequently burn off by midday. In summer, the mornings are typically clear but convection clouds (cumulus) build by mid-afternoon from thermal heating. Consequently, convection clouds result in east facing slopes receiving greater sunlight while stratus clouds, as described above, allow greater sun on west facing slopes. As clouds move over mountains, build and dissipate through each day, they have a marked effect upon the amount and character of radiation received. Mountains are composed of a wide range of surface types, snow, ice, water, grassy pastureland, extensive forests, desert shrub, soils, and bare bedrock. This extensive variety of surface characteristics affects the receipt of incoming solar radiation (Miller 1965, 1977; Goodin and Isard 1989; Tappenier and Cernusca 1989). The effects of two factors, groundcover and topographic setting, will illustrate this. Dark colored features, including vegetation, absorb rather than reflect radiation, receiving increased amounts of energy. Snowfields, glaciers, and light colored rocks have a high reflectivity (albedo), so that much of the incoming shortwave energy is lost. If the snow is in a valley or on a concave slope, reflected energy may bounce from slope to slope, increasing the energy budget of the upper slopes. The opposite occurs on a mountain ridge or convex slope, where the energy is reflected back out into space. Consequently, valleys and depressions are areas of heat build up and generally experience greater temperature extremes than do ridges and convex slopes. Reflected energy is an important source of heat for trees in the high mountains (Martinec 1987; 1989). Snow typically melts faster around trees because the increased heat is transferred, as longwave thermal energy, to the adjacent surface (Pl�ss and Ohmura 1997). On a larger scale, the presence of forests adds significantly to the heat budget of snow-covered areas. The shortwave energy from the sun can pass through a coniferous forest canopy, but very little of it escapes again to outer space. The absorbed energy heats the tree foliage and produces higher temperatures than in open areas. This results in rapid melting rates of the regional snowpack (Miller 1959; Martinec 1987). Variation in the components of the surface energy budget provides the main driving force of regional differences in climate. In particular, the relative magnitude of sensible and latent heat fluxes reflects the influence of prevailing weather systems, as well as playing an important role in determining atmospheric temperature and moisture content (McCutchan and Fox 1986; Bailey et al. 1990; Kelliher et al. 1996). These factors in turn have an influence on the development of local wind systems. The surface energy budgets can vary significantly in mountains due to the effects of both complex topography and surface characteristics. When snow or ice are present, energy must first be partitioned to ablation before temperatures rise, and once the snow melts there are large changes in albedo (Cline 1997). These variations affect both the distribution of incoming and outgoing radiation, influencing net radiation, soil heat flux, sensible and latent heat; and producing a range of topo- and microclimates (Barry and Van Wie 1974; Green and Harding 1980; Fitzharris 1989; Germino and Smith 2000). Temperature The decrease of temperature with elevation is one of the most striking and fundamental features of mountain climate. Those of us who are fortunate enough to live near mountains are constantly reminded of this fact, either by spending time in the mountains or by viewing the snowcapped peaks from a distance. Nevertheless, there are many subtle and poorly understood characteristics about the nature of temperature in mountains. Alexander Von Humboldt was so struck by the effect of temperature on the elevational zonation of climate and vegetation in the tropics that he proposed the terms tierra calienfe, tierra templada, and tierra fria for the hot, temperate, and cold zones. These terms, commonplace in the tropics today, are still valid for this region. Their extension to higher latitudes by others, however, under the mistaken assumption that the same basic kinds of temperature conditions occur in belts from the equator to the poles has been unfortunate. This simplistic approach is still used in some textbooks. Vertical Temperature Gradient Change of temperature with elevation is called the environmental or normal lapse rate. De Saussure, who climbed Mount Blanc in 1787, was one of the first to measure temperature at different elevations. Since his time many temperature measurements have been made in mountains throughout the world, and almost every one of them has been different (Tabony 1985). The lapse rate varies according to many factors. Nevertheless, by averaging the temperatures at different levels, as well as those measured in the free air by balloon, radiosonde, and aircraft, average lapse rates have been established, ranging from 1 �C t o 2 �C ( 1 . 8 �F t o 3 . 6 �F ) p e r 3 0 0 m ( 1 , 0 0 0 f t . ) ( M c C u t c h a n 1 9 8 3 ) . A s i d e f r o m p u r p o s e s o f g r o s s g e n e r a l i z a t i o n , h o w e v e r , a v e r a g e l a p s e r a t e s h a v e l i t t l e v a l u e i n m o u n t a i n s . T h e r e i s n o c o n s t a n t r e l a t i o n s h i p b e t w e e n a l t i t u d e a n d t e m p e r a t u r e . I n s t e a d , t h e l a pse rate changes continually with changing conditions, particularly the diurnal heating and cooling of the earth�s surface. For example, the vertical temperature gradient is normally greater during the day than at night, and greater during the summer than in winter. The gradient is steeper under clear than cloudy conditions, steeper on sun exposed slopes than shaded ones, and steeper on continental mountains than on maritime mountains (Peattie 1936; Dickson 1959; Tanner 1963; Yoshino 1964a, 1975; Coulter 1967; Marcus 1969). There is also a difference between the characteristics of free air temperature and that measured on a mountain slope (McCutchan 1983; Richner and Phillips 1984; Pepin and Losleben 2002). Of course, the higher and more isolated a mountain peak is, the more closely its temperature will approach that of the free atmosphere (Schell 1934, 1935; Eide 1945; Samson 1965). Table 4.4 shows data for the average de crease of temperature with changing eleva tion in the Alps, and Figure 4.11 illustrates the temperature changes with elevation in the southern Appalachians of the United States. The temperatures shown are averages, with some interpolation between stations; the actual decrease with elevation is much more variable. A station located on a sunny slope will have a temperature regime different from that of a shaded slope (Fig. 4.23). The disposition of winds and clouds is equally important, as is the nature of the slope surface whether it is snow-covered, wet or dry, bare or vegetated (Green and Hardy 1979; 1980). A convex slope has qualities of heat retention different from those of a concave slope. A high valley will heat up more during the day (and cool down more at night) than an exposed ridge at the same elevation. Nevertheless, broad averages will smooth out the extremes and individual differences, generally showing a steady and progressive decrease in temperature with increase in elevation. Mountain Mass (Massenerhebung) Effect Large mountain systems create their own surrounding climate (Ekhart 1948). Similar to the continentality effect, the greater the surface area or land mass at any given elevation, the greater effect the mountain area will have on its own environment. Mountains serve as elevated heat islands where solar radiation is absorbed and transformed into long-wave heat energy, resulting in much higher temperatures than those found at similar altitudes in the free air (Flohn 1968; Chen et al. 1985; Rao and Endogan 1989). Accordingly, the larger the mountain mass, the more its climate will vary from the free atmosphere at any given altitude. This is particularly evident on some of the high plateaus, where treeline and snowline often occur at higher elevations than on isolated peaks at the same elevation. On the broad general level of the Himalayas, at 4,000 m (13,100 ft.) it seldom freezes during summer, while on the isolated peaks at 5,000 m (16,400 ft.) it seldom thaws (Peattie 1936; Tang and Reiter 1989; Brazel and Marcus 1991). An excellent example of the heating effect of large high altitude land masses is the Mexican Meseta (Fig. 4.12). Radiosonde data indicate higher temperatures in the free atmosphere over the plateau than over the Pacific and Gulf coasts up to an elevation of almost 6,000 m (20,000 ft.). The mean annual temperature over the central plateau at 3,000 m (10,000 ft.) is about 3 �C ( 5 . 4 �F ) w a r m e r t h a n t h a t o v e r c o a s t a l s t a t i o n s ( H a s t e n r a t h 1 9 6 8 ) . T h i s i s l a r g e l y d u e t o t h e h e a t i n g e f f e c t s o f t h e s u n o n t h e l a r g e r l a n d m a s s e x p o s e d a t h i g h e r e l e v a t i o n s . I n e s t a b l i s h i n g t h e r e l a t i o n s h i p s b e t w e e n m o u n t a i n m a s s a n d t h e h e a t b a l a n c e , c ontinentality, latitude, amount of cloud cover, winds, precipitation, and surface conditions must all be considered. A persistent cloud cover during the summer can prevent a large mountain mass from showing substantial warming. Also, the presence of a heavy snow cover can retard the warming of a mountain area in spring because of surface reflectivity and the amount of initial heat required to melt the snow. The high Sierra Nevada of California are relatively warm compared with other mountain areas, in spite of heavy snowfalls (Miller 1955). This is partially because the extreme clarity of the skies over this region in late summer allows maximum reception of solar energy. In general, the effect of greater mountain mass on climate is somewhat like that of increasing continentality. The ranges of temperature are greater than on small mountains, i.e., the winters are colder and the summers warmer, but the average of these temperatures will generally be higher than the free air at the same altitude. The effective growing climate, especially, is more favorable at the soil surface than in the free air, owing to higher soil temperatures. This is particularly true when there is a high percentage of sunshine (Peattie 1931; Yoshino 1975). Generally, the larger the mountain mass, the higher the elevation at which vegetation grows. The most striking example of this is found in the Himalayas, where plants reach their absolute highest altitude (Zimmermann 1953; Webster 1961; Chen et al. 1985). In the Alps (where the influence of mountain mass, Mussenerhebung, was first observed) the timberline is higher in the more massive central area than on the marginal ranges (Imhof 1900, in Peattie 1936, p. 18). At a more local level, the effects of mountain mass on vegetation development can be observed in the Oregon Cascades. Except for Mount McLoughlin in southern Oregon, timberline is highest and alpine vegetation reaches its best development in the Three Sisters Wilderness area, where three peaks join to form a relatively large land mass above 1,800 m (6,000 ft.) (Price 1978). On the higher but less massive peaks of Mount Hood and Mount Washington a few kilometers to the north, the timberline is 150-300 m (500 1,000 ft.) lower and the alpine vegetation is considerably more impoverished. The development of vegetation involves more than climate, of course, since plant adaptations and species diversity are related to the size of the gene pool and other factors (Van Steenis 1961). Nevertheless, vegetation is a useful indicator of environmental conditions and a positive correlation between vegetation development and mountain mass can be observed in most mountain areas (see pp. 266 67). An interesting practical consequence of the mountain mass effect is that rice, basically a tropical plant, can grow at higher altitudes in the subtropics than in the tropics. Rice cultivation goes up to 2,500 m (8,250 ft.) in the high interior valleys of the Himalayas (Fig. 4.13) but only reaches about 1,500 m (5,000 ft.) in the humid tropics. The lower tropical limits are due to the lower cloud level, whereas the higher elevations reached in the Himalayas are due to the greater mountain mass and reduced cloudiness, permitting greater possible sunshine, higher temperatures, and a longer growing season than would otherwise be expected. In general, the upper limit of rice cultivation corresponds closely to the limit of frost during the growing season. At the highest levels in the Himalayas, rice seedlings are germinated and grown inside the houses, since it takes eight months for complete production at this elevation but the growing season is only seven months long (Uhlig 1978). Temperature Inversion Temperature inversions are ubiquitous in landscapes with marked relief, and anyone who has spent time in or around mountains is certain to have experienced their effects. Inversions are the exception to the general rule of decrease in temperature with elevation. During a temperature inversion the lowest temperatures occur in the valley and increase upward along the mountain slope. Eventually, however, the temperatures will begin to decrease again, so that an intermediate zone, the thermal belt, will experience higher night temperatures than either the valley bottom or the upper slopes (Yoshino 1984). Cold air is denser and therefore heavier than warm air. As slopes cool at night, the colder air begins to slide down slope, flowing underneath and displacing the warm air in the valley. Temperature inversions are best developed under calm, clear skies, where there is no wind to mix and equalize the temperatures and the transparent sky allows the surface heat to be rapidly radiated and lost to space (Blackadar 1957). Consequently, the surface becomes colder than the air above it, and the air next to the ground flows downslope. These slope winds are further explored on pp. 34. The cold air will continue to collect in the valley until an equilibrium between the temperatures of the slopes and the valleys has been established. If the valley is enclosed, a pool of relatively stagnant colder air may collect, but if the valley is open there may be a continuous movement of air to the lower levels, leading to the development of pollution problems (Whiteman and KcKee 1978; Nappo et al 1989). The depth of the inversion depends on the characteristics of the local topography and the general weather conditions, but it is generally not more than 300 600 m (1,000 2,000 ft.) in depth. Figure 4.14 demonstrates a temperature inversion in Gstettneralm, a small enclosed basin at an elevation of 1,270 m (4,165 ft.) in the Austrian Alps, about 100 km (62 mi.) southwest of Vienna. Because of the local topographic situation and the "pooling" of cold air, this valley experiences some of the lowest temperatures in Europe, even lower than the high peaks (Schmidt 1934). The lowest temperature recorded at Gstettneralm is 51 �C ( 5 9 . 8 �F ) w h i l e t h e l o w e s t t e m p e r a t u r e r e c o r d e d a t S o r m b l i c k a t 3 , 1 0 0 m ( 1 0 , 1 7 0 f t . ) i s 3 2 . 6 �C ( 2 6 . 7 �F ) . A s m i g h t b e e x p e c t e d , d i s t i n c t v e g e t a t i o n p a t t e r n s a r e a s s o c i a t e d w i t h t h e s e e x t r e m e t e m p e r a t u r e s . N o r m a l l y , v a l l e y b o t t o m s a r e f o r e s t e d a n d t r e e s become stunted on the higher slopes, eventually being replaced by shrubs and grasses still higher up, but the exact opposite occurs here. The valley floor is covered with grass, shrubs, and stunted trees, while the larger trees occur higher up. An inversion of vegetation matches that of temperature (Schmidt 1934). A similar vegetative pattern has been found in the arid mountains of Nevada, where valley bottoms support sagebrush, while higher up is a zone of pinyon and juniper woodland. Higher still the trees again disappear (Billings 1954). The pinyon/juniper zone, the thermal belt, is sandwiched between the lower night temperatures of the valley bottom and those which occur higher up on the slopes. Human populations have taken advantage of thermal belts for centuries, particularly in the cultivation of frost susceptible crops such as vineyards and orchards. In the southern Appalachians of North Carolina, the effect of temperature inversions is clearly displayed by the distribution of the fruit orchards (Cox 1920,1923; Dickson 1959; Dunbar 1966). During the winter, the valleys are often brown with dormant vegetation, while the mountain tops at 1,350 m (4,430 ft.) may be white with snow. In between is a strip of green that marks the thermal belt. Frost is common in the valley, but in the thermal belt they cultivate a sensitive Isabella grape which has apparently grown for years without danger from frost (Peattie 1936). A similar situation exists in the Hood River Valley of Oregon, on the north side of Mount Hood. Cherries are grown on the slopes of this valley in a sharply delimited thermal belt between the river and the upper slopes. With increased demand, more fruit trees are being planted in marginal areas, but their success is questionable, since the risk of frost is much greater. Temperature Range The temperature difference between day and night and between winter and summer generally decreases with elevation (Fig. 4.15; Linacre 1982). This is because of the relatively greater distance from the heat source, the broad level of the earth's surface. Like the analogy of a marine island and the dominating influence of the ocean, the higher and more isolated a mountain, the more its temperature will reflect that of the surrounding free air. Temperature in mountains is largely a response to solar radiation. The free air, however, is essentially non responsive to the heating effects of the sun, particularly at higher altitudes. A mountain becomes heated at the surface but there is a rapid temperature gradient in the surrounding air. As a result, only a thin boundary layer or thermal shell surrounds the mountain, its exact thickness depending on a variety of factors (e.g., solar intensity, mountain mass, humidity, wind velocity, surface conditions, and topographic setting). Ambient temperatures are normally measured at a standard instrument shelter height of 1.5 m (5 ft.). Such measurements generally show a progressive decline in temperature and a lower temperature range with elevation (Table 4.4; Figs. 4.11, 4.15). There is a vast difference between the temperature conditions at a height of 1.5 m (5 ft.) and immediately next to the soil surface, however. Paradoxically, the soil surface in alpine areas may experience higher temperatures (and therefore a greater temperature range) than the soil surface of low elevations, due to the greater intensity of the sun at high elevations (Anderson 1998). At an elevation of 2,070 m (6,800 ft.) in the Alps, temperatures up to 80 �C ( 1 7 6 �F ) w e r e m e a s u r e d o n a d a r k h u m u s s u r f a c e n e a r t i m b e r l i n e o n a s o u t h w e s t f a c i n g s l o p e w i t h a g r a d i e n t o f 3 5 � ( T u r n e r 1 9 5 8 b ) . T h i s i s c o m p a r a b l e t o t h e m a x i m u m t e m p e r a t u r e s r e c o r d e d i n h o t d e s e r t s ! A t t h e s a m e t i m e , t h e a i r t e m p e r a t u r e a t a h e i g h t o f 2 m ( 6 . 5 f t . ) w a s o n l y 3 0 �C ( 8 6 �F ) , a d i f f e r e n c e o f 5 0 �C ( 9 0 �F ) . S u c h h i g h s u r f a c e t e m p e r a t u r e s m a y o c c u r i n f r e q u e n t l y a n d o n l y u n d e r i d e a l c o n d i t i o n s , b u t t e m p e r a t u r e s s o m e w h a t l e s s e x t r e m e a r e c h a r a c t e r i s t i c , a n d d e m o n s t r a t e t h e v a s t d i f f e r e n c e s t h a t m a y exist between the surface and the overlying air (Fig. 4.16). The soil surface in the alpine tundra will almost always be warmer during the day than the air above it. It may also become colder at night, although the differences are far less at night than during the day. The low growth of most alpine vegetation may be viewed as an adaptation to take advantage of these warmer surface conditions. In fact, several studies have shown that tundra plants may suffer more from high temperatures than from low temperatures (Dahl 1951; Mooney and Billings 1961). Temperature ranges vary not only with elevation, but on a latitudinal basis as well. The contrast in daily and annual temperature ranges is one of the most important distinguishing characteristics between tropical and mid latitude or polar climates. The average annual temperatures of high tropical mountains and polar climates are similar. The average annual temperature of El Misti in Peru at 5,850 m (19,193 ft.) is 8 �C ( 1 8 �F ) , w h i c h i s c o m p a r a b l e t o m a n y p o l a r s t a t i o n s . T h e u s e o f t h i s v a l u e a l o n e i s g r o s s l y m i s l e a d i n g , h o w e v e r , s i n c e t h e r e a r e v a s t d i f f e r e n c e s i n t h e t e m p e r a t u r e r e g i m e s . T r o p i c a l m o u n t a i n s e x p e r i e n c e a t e m p e r a t u r e r a n g e b e t w e e n d a y a n d n i g h t t h a t i s relatively greater than any other mountain area, due to the strongly positive heating effect of the sun in the tropics. On the other hand, changes in temperature from month to month or between winter and summer are minimal. This is in great contrast to middle latitude and polar mountains, which experience lower daily temperature ranges with latitude, but are increasingly dominated by strong seasonal gradients. Knowledge of the differences between these temperature regimes is essential to an understanding of the nature and significance of the physical and biological processes at work in each latitude. Figure 4.17a depicts the temperature characteristics of Irkutsk, Siberia, a subpolar station with strong continentality. The most striking feature of this temperature regime is its marked seasonality. The daily range is only 5 �C ( 9 �F ) , w h i l e t h e a n n u a l r a n g e i s o v e r 6 0 �C ( 1 0 8 �F ) . T h i s m e a n s t h a t d u r i n g w i n t e r , w h i c h l a s t s f r o m O c t o b e r t o M a y , t h e t e m p e r a t u r e s a r e a l w a y s b e l o w f r e e z i n g , w h i l e i n s u m m e r t h e y a r e c o n s i s t e n t l y a b o v e f r e e z i n g . T h e p e r i o d o f s t r e s s f o r o r g a n i s m s , t h e n, is concentrated into winter. An alpine station at this latitude would have essentially the same temperature regime except for a relatively longer period with negative temperatures and a shorter period with positive temperatures. More poleward stations would show an even smaller daily temperature range (Troll 1968). Such a temperature regime stands in great contrast to that of tropical mountains. Figure 4.17b shows the temperature characteristics of Quito, Ecuador, located on the equator at an elevation of 2 , 8 5 0 m ( 9 , 3 5 0 f t . ) . T h e i s o t h e r m s o n t h e g r a p h a r e o r i e n t e d v e r t i c a l l y , i n d i c a t i n g v e r y l i t t l e c h a n g e b e t w e e n w i n t e r a n d s u m m e r , b u t w i t h a m a r k e d c o n t r a s t b e t w e e n d a y a n d n i g h t . T h e a v e r a g e a n n u a l r a n g e i s l e s s t h a n 1 �C ( 1 . 8 �F ) , w h i l e t h e a v e r a g e d a i l y r a n g e i s a p p r o x i m a t e l y 1 1 �C ( 1 9 . 8 �F ) . T h i s b e a u t i f u l l y d e m o n s t r a t e s t h e s a y i n g , " N i g h t i s t h e w i n t e r o f t h e t r o p i c s " ; n i g h t i s i n d e e d t h e o n l y w i n t e r t h e h u m i d t r o p i c s e x p e r i e n c e . T h i s i s p a r t i c u l a r l y t r u e i f t h e s t a t i o n i s h i g h e n o u g h f o r f r e e z i n g t o o c c ur. The lower limit of frost is determined principally by latitude, mountain mass, continentality, and the local topographic situation. In the equatorial Andes it exists at about 3,000 m (10,000 ft.). This elevation decreases with latitude; the point where frost begins to occur in the lowlands is normally taken as being the outer limits of the tropics. In North America the frost line runs through the middle of Baja California and eastward to the mouth of the Rio Grande, although it is highly variable from year to year. The frost line in tropical mountains is much more sharply delineated. In Quito, Ecuador, at 2,850 m (9,350 ft.), frost is practically unknown. The vegetation consists of tropical evergreen plants which blossom continuously; farmers plant and harvest crops throughout the year. By an elevation of 3,500 m (11,500 ft.), however, frost becomes a limiting factor (Troll 1968). At an elevation of 4,700 m (15,400 ft.) on El Misti in southern Peru, it freezes and thaws almost every day of the year. The f u n d a m e n t a l r e l a t i o n s h i p s b e t w e e n t h e s e d i s p a r a t e f r e e z e t h a w r e g i m e s a r e d e m o n s t r a t e d i n F i g u r e 4 . 1 8 . E a c h o f t h e s i t e s s e l e c t e d h a s a s i m i l a r a v e r a g e a n n u a l t e m p e r a t u r e o f 8 �C t o 2 �C ( 1 8 �F t o 2 8 �F ) b u t t h e d a i l y a n d a n n u a l r a n g e s a r e m a r k e d l y d i f f e r e n t . Yakutsk, Siberia, experiences strong seasonality, with a frost free summer period of 126 days, but in winter the temperatures remain below freezing for 197 days. Alternating freezing and thawing take place during 42 days in the spring and fall. At Sormblick in the Alps, the winter season is much longer (276 days), with a very short summer during which freezing and thawing can occur at any time. El Misti, however, is dominated by a freeze thaw regime that operates almost every day throughout the year. This type of weather has been characterized as "perpetual spring": the sun melts the night frost every morning and the days are quite pleasant. The twelve-hour day adds to the impression of spring (McVean 1968). It can be seen that these different systems provide greatly contrasting frameworks for the survival of plants and animals, as well as for the development of landscapes. Humidity and Evaporation Water vapor constitutes less than 5% of the atmosphere but it is by far the single most important component with regard to weather and climate. It is highly variable in space and time. Water vapor provides energy for storms and its abundance is an index of the potential of the air for yielding precipitation; it absorbs infrared energy from the sun and reduces the amount of shortwave energy reaching the earth; it serves as a buffer from temperature extremes; and it is important biologically, since it controls the rate of chemical reactions and the drying power of the air. The moisture content of the atmosphere decreases rapidly with increasing altitude. At 2,000 m (6,600 ft.) it is only about 50 percent of that at sea level; at 5,000 m (16,400 ft.) it is less than 25%; and at 8,000 m (26,200 ft.) the water vapor content of the air is less than 1% of that at sea level (Table 4.2). Within this framework, however, the presence of moisture is highly variable. This is true on a temporal basis, between winter and summer, day and night, or within a matter of minutes when the saturated air of a passing cloud shrouds a mountain peak (McCutchan and Fox 1986; Huntington et al. 1998). It is also true on a spatial basis, between high and low latitudes, a marine and a continental location, the windward and leeward sides of a mountain range, or north and south facing slopes. The general upward decrease in water vapor content, and the variations that occur, are illustrated by the east and west sides of the tropical Andes (Fig. 4.19). The contrast in absolute humidity between these two environments is immediately apparent, although the difference decreases with elevation and probably disappears altogether above the mountains. Imata, Salcedo, and Arequipa on the west have only about half the water vapor content of stations on the east (Cerro do Pasco, Pachachaca, Huancayo, Bambamarca). Values similar to those at Arequipa occur at elevations 2,000 m (6,600 ft.) higher on the east side (e.g., at Pachachaca). During the wet season, however, the absolute humidity at Arequipa may be two to three times higher than during the dry season. This corresponds to an elevational difference of up to 3,000 m (10,000 ft.). The decrease in water vapor with altitude may seem somewhat difficult to explain, since it is well known that precipitation increases with elevation. The two phenomena are not directly related, however. Precipitation results from the lifting of moist air from lower elevations upward into an area of lower temperature. Increasing precipitation does create a more humid environment in mountains, at least for part of the year and up to certain elevations, but eventually signs of aridity increase. Aridity at high elevations is due, in part, to lower barometric pressure, stronger winds, porous well drained soils, and the intense sunlight. The greater aridity of high elevation is evident from the plants and animals, many of which have adapted to a dry environment. Thick, corky bark and waxy leaves are common in alpine plants (Isard and Belding 1986). Mountain sheep and goats and their cousins, the llama, guanaco, alpaca, chamois, and ibex, are all able to live for prolonged periods on little moisture. Geomorphologically, aeolian processes become increasingly important in higher landscapes, and the low availability of moisture is reflected in soil development (Litaor 1987). One of the physiological stresses reported by climbers on Mount Everest is a dryness of the throat and a general desiccation. The establishment of sanatoriums in alpine areas to utilize the intense sunlight and clean, dry air was mentioned earlier (Hill 1924). Air dried meat is a provincial dish in the high Engadine, and pemmican and jerky were both important in the mountains of western North America. In the Andes, an ancient method exists for the production of dried potatoes (chuho) in the high dry air above 3,000 m (10,000 ft.). Permanent settlement of the higher elevations apparently depended upon the development of this technique of food preservation (Troll 1968). Mummification of the dead was practiced in the Andes and in the Caucasus. The lower absolute humidities and the tendency toward aridity at higher altitudes suggest greater evaporation rates with elevation. However, this may not be true, since the few studies of alpine evaporation have conflicting results (reviewed in Barry, 1992). Several studies do indicate an increase of evaporation with elevation (Hann 1903; Church 1934; Matthes 1934; Peattie 1936; Henning and Henning 1981; Sturman and Tapper 1996). For example, Matthes (1934), in discussing the development of the dimpled surfaces (sun cups) of snowfields above 3,600 m (12,000 ft.) in the Sierra Nevada of California, states that ablation (the combined processes of wasting away of snow and ice) is caused entirely by evaporation, since melting does not occur at this elevation. Two years of water balance data from a high elevation (2,800-3,400 m) lake in the Sierra Nevada show that evaporation accounts for 19-32% of the ablation (Kattelman and Elder 1991). Snowfall contributed 95% of the precipitation and 80% of the evaporative (sublimation) losses came from snowcover. Similar results were reported from the alpine zone of the White Mountains of California (Beatty 1975). However, other studies in the have shown that evaporation does not exceed 10% of the total ablation (Kehrlein et al. 1953). Whichever of these observations is accepted as being the more general, it should be noted that these particular alpine areas are exceptionally, if not uniquely, dry environments, with high solar intensities, strong winds, and persistent subfreezing temperatures (Terjung et al. 1969a; LeDrew 1975). The bulk of investigations on snowfields and glaciers in other regions have tended to show that evaporation is relatively unimportant in total ablation. In some cases, evaporation may actually inhibit ablation, owing to the heat it extracts (Howell 1953; Martinelli 1960; Hoinkes and Rudolph 1962; Platt 1966). In addition, long term studies of evaporation in measurement pans and lakes at different elevations in the western United States have shown that evaporation decreases with elevation (Fig. 4.20; Shreve 1915; Blaney 1958; Longacre and Blaney 1962; Peck and Pfankuch 1963). Evaporation and the factors that control it in a natural environment are exceedingly complex (Horton 1934; Penman1963; Gale 1972; Calder 1990). The rate depends upon temperature, solar intensity, atmospheric pressure, the available quantity of water (soil moisture), the degree of saturation of the air, and wind. One of the problems in measuring the rate of evaporation is the availability of moisture. In a lake or evaporating pan, the available moisture is for all practical purposes unlimited, but this is not true for most surfaces in high mountains. Rainfall is generally lost to the surface by drainage through porous soil or by runoff on steep slopes. As a result, there is frequently little surface moisture available for evaporation, no matter how great the measured rates are from an evaporation pan. For this reason, the determination of evapotranspiration, the loss of water to the air from both plant and soil surfaces, has become an increasingly attractive approach (Thomthwaite and Mather 1951; Penman 1963; Rao et al. 1975; Henning and Henning 1981). The single most important factor in controlling the decrease of evaporation with elevation is temperature, both of the evaporation surface and of the air directly above it (Konzelman et al. 1997; Huntinton et al. 1998). While it is true that soil surfaces exposed to the sun at high elevations may reach exceptionally high temperatures, this is a highly variable condition (Anderson 1998; Germino and Smith 2000). During periods of high sun intensity and high soil temperatures, the potential for evaporation may be considerable, especially when the wind is blowing (Isard and Belding 1986). Generally, however, the lower temperatures of higher altitudes are more than sufficient to compensate for the decreasing water vapor content and lower barometric pressure, so that the vapor pressure gradient is likewise decreased (Bailey et al. 1990). In other words, the relative humidity (ratio of water vapor in the air to the maximum amount it could hold at that temperature) increases with decreasing temperature, and it is the relative humidity that really determines the rate of evaporation. This is illustrated by the surprising fact that the water vapor content of the air in the Sahara Desert is two to three times greater than that over the Rocky Mountains during clear summer weather. Owing to the higher temperatures in the Sahara, however, the relative humidity is usually not more than 20 30%, compared to 40 60% for the Rockies. Consequently, the evaporation rate in the Sahara far exceeds that of the Rockies, even though there is more actual moisture in the desert. An inverse relationship exists between air temperature and relative humidity. This can be seen by comparing measurements taken in mountains during day and night, and at various slope exposures (Fig. 4.21). The greatest contrasts occur on south facing slopes in the northern hemisphere. Under the higher temperatures that prevail during the day, relative humidity varies very little with elevation, although it is lowest in the valley bottom. At night there is considerable contrast because of the temperature inversion that develops in the valley, resulting in lower temperatures and high relative humidities. The lowest relative humidity occurs immediately above the temperature inversion, in the thermal belt, where temperatures are higher (Hayes 1941). The difference in relative humidity between the two slopes gradually decreases with elevation. Local wind circulation can also greatly affect water vapor content: descending air brings dry air from aloft, while ascending air carries moist air upward from below. At night colder air tends to descend through air drainage, but during the day the slopes are warmed and the air rises. Under these conditions, the normal inverse temperature/relative humidity relationship may be overridden. Even though the summit air is cool at night, the motion of the descending air lowers the relative humidity. During the day, however, when temperatures are higher and relative humidity would normally decrease, it may actually increase, because the valley breezes carry moist air up the mountain slopes. This frequently results in afternoon clouds and precipitation (Schell 1934). Precipitation The increase of precipitation with elevation is well known. It is demonstrated in every country of the world, even if the landforms involved are only small hills. In many regions an isohyetal map with its lines of equal precipitation will look similar to a topographic map composed of lines of equal elevation (Fig. 4.22). Of course, the data on which most precipitation maps are based are scanty, so that considerable interpolation may be necessary, particularly in the areas of higher relief (Peck and Brown 1962; Kyriakidis et al. 2001). Precipitation does not always correspond to landforms. In some cases, maximum precipitation may occur at the foot or in advance of the mountain slopes (Reinelt 1968; Barry 1992). In some regions and under certain conditions, valleys may receive more rainfall than the nearby mountains (Sinclair et al. 1997). In many higher alpine areas, precipitation decreases above a certain elevation, with the peaks receiving less than the lower slopes. Wind direction, temperature, moisture content, storm and cloud type, depth of the air mass and its relative stability, orientation and aspect, and configuration of the landforms are all contributing factors in determining location and amount of precipitation (Sinclair 1994; Ferretti et al. 2000; McGinnis 2000; Drogue et al. 2002). The complex topographic arrangement and often high relief of mountains creates complex meso- and micro-scale three-dimensional circulation and cloud formations, leading to complex spatial patterns of precipitation within mountainous regions (Bossert and Cotton 1994; Cline et al. 1998; Garreaud 1999; Germann and Joss 2001; 2002). Great variations in precipitation occur within short distances; one slope may be excessively wet while another is relatively dry. The terms "wet hole" and "dry hole" may be used in this regard. Jackson Hole, Wyoming, is located in a protected site at the base of the Grand Tetons. The mountains receive 1,400 mm. (55 in.) but Jackson Hole, only 16 km (10 mi.) away, receives 380 mm (15 in.). The most fundamental reason for increased precipitation with elevation is that landforms obstruct the movement of air and force it to rise. This is part of a complex of processes known as the orographic effect (from the Greek oros, meaning "mountain," and graphein, "to describe"). Forced ascent of air is most effective when mountains are oriented perpendicular to the prevailing winds; the steeper and more exposed the slope, the more rapidly air will be forced to rise. As air is lifted over the mountains it is cooled by expansion and mixing with cooler air at higher elevations. The ability of air to hold moisture depends primarily upon its temperature, warm air can hold much more moisture than cold air. The temperature, the pressure, and the presence of hygroscopic nuclei in the atmosphere tend to concentrate the water vapor in its lower reaches. This is why most clouds occur below 9,000 m (30,000 ft.), and why those that do develop higher than this are usually thin and composed of ice particles and yield little or no precipitation. When the air holds as much moisture as it can (relative humidity is 100%), it is said to be saturated. Condensation is a common process in saturated air, and the temperature at which condensation takes place is called the dew point. Ground forms of condensation, i.e., fog, frost, and dew, are caused by cooling of the air in contact with the ground surface, but condensation in the free atmosphere, i.e., clouds, can only result from rising air. The key to forming clouds and creating precipitation, therefore, is rising air. This may be brought about by one of several ways. The driving force may be convection (thermal heating), where the sun warms the earth's surface and warm air rises until clouds begin to form. Such clouds may grow to great size since they are fed from below by relatively warm, moist rising air, until the moisture content within the clouds becomes too great and it is released as precipitation. Convectional rainfall is best displayed in the humid tropics where water vapor is abundant, but it occurs in all climates. The air may also be forced to rise by the passage of cyclonic storms, where warm and cold fronts lift moist, warm air over cooler, denser air. This takes place primarily in the middle latitudes in association with the polar front (Fig. 4.2). Although both of these processes can operate without the presence of mountains, their effectiveness is greatly increased on windward sides of mountains and decrease on leeward sides. For example, a passing storm may drop a certain amount of precipitation on a plains area, but when the storm reaches the mountains, a several-fold increase in precipitation typically occurs on the windward side, while a marked decrease generally takes place on the leeward side. One has only to compare the distribution of world precipitation with the location of mountains to see their profound influence (Fig. 4.22). Almost every area of heavy rainfall is associated with mountains. In general, any area outside the tropics receiving more than 2,500 mm (100 in.) and any area within the tropics receiving more than 5,000 mm (200 in.) is experiencing a climate affected by mountains. The examples of Cherrapunji, Assam; Mount Waialeale, Hawai�i; and the Olympic Mountains were given earlier. Many others could be added: Mount Cameroon, West Africa, the Ghats along the west coast of India, the Scottish Highlands, the Blue Mountains of Jamaica, Montenegro in Yugoslavia, and the Southern Alps of New Zealand. The list could go on and on. The reverse is also true, for to the lee of each of these ranges is a rain shadow in which precipitation decreases drastically (Manabe and Broccoli 1990; Broccoli and Manabe 1992). The western Ghats receive over 5,000 mm (200 in.) but immediately to their lee on the Deccan Plateau the average amount of precipitation is only 380 mm (15 in.). The windward slopes of the Scottish Highlands receive over 4,300 mm (170 in.) but the amount decreases to 600 mm (24 in.) on the lowlands around the Moray Firth. The Blue Mountains on the northeast side of Jamaica face the Trade Winds and receive over 5,600 mm (220 in.), while Kingston, 56 km (35 mi.) to the leeward, receives only 780 mm (31 in.) (Kendrew 1961). Mountains, therefore, not only cause increased precipitation, but also have the reciprocal effect of decreasing precipitation. Despite these useful generalities, many local and regional variations occur within mountains. The complex local topography creates funneling effects that can increase atmospheric moisture content and precipitation, even downwind from the funnel (Sinclair et al. 1997). High peaks or ridges within a range can create �mini-rain-shadow� zones even in the center of a range (Garreaud 1999). The central portion of the north Cascades Range in Washington receives ~100 cm less precipitation than the surrounding ridges (Kresch 1994). Significant quantities of precipitation can fall on the leeside of mountains due to spillover effects (Sinclair et al. 1997; Thompson et al. 1997; Chater and Sturman 1998). Many precipitation maps of mountainous regions do not indicate this internal variability due to the lack of data points and interpolation between existing station data using generalized elevation-precipitation relationships (Kyriakidis et al. 2001). Additionally, seasonal and interannual variability of storm tracks and storm intensities can create non-elevational precipitation patterns (Lins 1999). The movement of air up a mountain slope, creating clouds and precipitation, may be due simply to the wind, but it is usually associated with convection and frontal activity. Rising air cools at a rate of 3.05 �C ( 5 . 5 �F ) p e r 3 0 0 m ( 1 , 0 0 0 f t . ) ( d r y a d i a b a t i c r a t e ) u n t i l t h e d e w p o i n t i s r e a c h e d a n d c o n d e n s a t i o n o c c u r s ( F i g . 4 . 3 9 ) . T h e r e a f t e r , t h e a i r w i l l c o o l a t a s l i g h t l y l o w e r r a t e ( w e t a d i a b a t i c r a t e ) b e c a u s e o f t h e r e l e a s e o f t h e l a t e n t h e a t o f c o n d e n s a t i o n . If, upon being lifted, the air has a high relative humidity, it may take only slight cooling to reach saturation, but if it has a low relative humidity it may be lifted considerable distances without reaching the dew point. Conversely, if the air is warm, it often takes considerable cooling to reach dew point but then may yield copious amounts of rainfall, whereas cool air usually needs only slight cooling to reach dew point but also yields far less precipitation. After the air has passed over the mountains p r e c i p i t a t i o n d e c r e a s e s o r m a y c e a s e a s t h e a i r d e s c e n d s . A s a i r d e s c e n d s i t g a i n s h e a t a t t h e s a m e r a t e a t w h i c h i t w a s c o o l e d i n i t i a l l y 3 . 0 5 �C p e r 3 0 0 m ( 5 . 5 �F p e r 1 , 0 0 0 f t . ) , s i n c e i t i s b e i n g c o m p r e s s e d a n d m o v i n g i n t o w a r m e r a i r ( F i g . 4 . 3 9 ) . S u c h c o nditions are not conducive to precipitation. The orographic effect involves several distinct processes: (1) forced ascent, (2) blocking (or retardation) of storms, (3) the triggering effect, (4) local convection, (5) condensation and precipitation processes, and (6) runoff. Forced Ascent Forced ascent is the most important precipitation process in mountains; after all, rainfall increases with elevation and is greater on windward than on leeward slopes. The process may be most clearly seen in coastal mountains, like the Olympics, that lie athwart moisture laden winds. Other processes contribute to the total precipitation, of course, and differentiation among them is difficult. In order to explain the amount and distribution of rainfall caused strictly by forced ascent it is necessary to consider the atmospheric conditions from three different perspectives (Sawyer 1956; Sarker 1966; Browning and Hill 1981). First is the large scale synoptic pattern that determines the characteristics of the air mass crossing the mountains, its depth, stability, moisture content, wind speed, and direction (Sinclair 1994; McGinnis 2000). Second is the microphysics of the clouds, the presence of hydroscopic nuclei, the size of the water droplets, and their temperature, which will determine whether the precipitation will fall as rain or as snow or will evaporate before reaching the ground (Andersson 1980; Meyers et al 1995; Uddstrom et al. 2001). Third, and most important, is the air motion with respect to the mountain (Bates, 1990; Bossert and Cotton 1994; Tucker and Crook 1999). Will it blow over, or around, the mountain? This will determine to what depth and extent the air mass at each level is lifted. It is not realistic, for example, to assume that the air is lifted the same amount at all levels. The solution to these problems involves atmospheric physics and the construction of dynamic models (Myers 1962; Sarker 1966, 1967; Sinclair 1994; Thompson et al. 1997; Susong et al. 1999; Drogue et al. 2002). The simplest system is that of coastal mountains with moisture laden winds approaching from the ocean. As the air is lifted from sea-level, the resulting precipitation is clearly due to the landforms (Colle and Mass, 1996). Exceptions may occur in areas where the mountains are oriented parallel to the prevailing winds and/or where the frontal systems resist lifting. In southern California, for example, precipitation is often heavier in the Los Angeles coastal lowlands than in the Santa Inez and San Gabriel mountains due to the blocking of storms. The orographic component of precipitation increases only when the approaching air mass is unstable; under stable conditions, the wind will flow around the mountains (which are oriented east west), so there is no significant orographic lifting and the precipitation is due entirely to frontal lifting. The mountains apparently receive less rainfall than the lowlands under these conditions because the shallow cloud development does not allow as much depth for falling precipitation particles to grow by collision and coalescence with cloud droplets before reaching the elevated land. The situation becomes even more complex in interior high elevation areas where there is more than one source region and storms enter the area at various levels in the atmosphere. Such a situation exists in the Wasatch Mountains of Utah (Williams and Peck 1962; Peck 1972a; Sassen and Zhao 1993). It has long been known that precipitation in this region is highly variable; the valleys may receive greater amounts than the mountains during any given storm or season (Clyde 1931). The average over a period of years, however, does show an increase with elevation (Price and Evans 1937; Lull and Ellison 1950). The greater precipitation in valleys is apparently associated with certain synoptic situations, particularly when a "cold low" is observed on the upper air charts. These occur as closed lows on the 500 millibar pressure chart, i.e., at a height of about 5,500 m (18,000 ft.), and are associated with large-scale upward (vertical) movement of air which is not displayed in normal cold or warm front precipitation (Schultz et al. 2002). Under these conditions, precipitation may occur with relatively little dependence on orographic lifting, compared to other storm types (Williams and Peck 1962). Blocking of storms By retarding or hindering the free movement of storm systems, mountains can cause increased precipitation (Kimura and Manins 1988). Storms often linger for several days or weeks as they slowly move up and over the mountains, producing a steady downpour (Kimura and Manins 1988; Gan and Rao 1994). This is best displayed in the middle latitudes with high barrier mountains. Winter storms linger with amazing persistence in the Cascades and in the Gulf of Alaska before they pass across the mountains or are replaced by another storm. Storms of similar character in the Great Plains travel much more rapidly, since there are no restrictions to their movement. The countries surrounding the Alps are ideally located with respect to storm blocking. Switzerland frequently experiences lingering torrential rains during the summer (Bonacina 1945; Chen and Smith 1987). In northern Italy, between the Alps and the Apennines, heavy and persistent rains are associated with the "lee depressions" caused by the interception of polar air by the Alps (Grard and Mathevet 1972; Pichler and Steinacker 1987). The Triggering Effect Although little mention has so far been made of it, one important variable influenc ing the amount of precipitation is the stabil it y o f t h e a i r , t h a t i s , i t s r e s i s t a n c e t o v e r t i c a l d i s p l a c e m e n t . T h i s i s c o n t r o l l e d p r i m a r i l y b y t e m p e r a t u r e . W h e n t h e r e i s a l o w e n v i r o n m e n t a l l a p s e r a t e , i . e . , l e s s t h a n 1 . 4 �C p e r 3 0 0 m ( 2 . 5 �F p e r 1 , 0 0 0 f t . ) , a s t h e r e f r e q u e n t l y i s a t n i g h t i n m o u n t a i n s , the air is stable. Stable air resist lifting in mountains will often move down slope. During the day, when the sun warms the slopes and the surface air is heated, the environmental lapse rate increases and the air will have a tendency to rise, fre quently producing afternoon clouds. When the lapse rate exceeds the dry adiabatic rate of 3.05 �C p e r 3 0 0 m ( 5 . 5 �F p e r 1 , 0 0 0 f t . ) , a c o n d i t i o n o f a b s o l u t e i n s t a b i l i t y p r e v a i l s . U n d e r t h e s e c o n d i t i o n s e v e n s l i g h t l i f t i n g o f t h e a i r b y a l a n d f o r m i s e n o u g h t o " t r i g g e r " i t i n t o c o n t i n u e d l i f t i n g o n i t s o w n a c c o r d . I f i t t h e n b e g i n s t o f e e d u p o n i t s e l f through the release of latent heat of condensation, it can yield considerable precipitation (Bergeron 1965; Thornthwaite 1961; Revell 1984). As a result of this effect, thunderstorms can develop, even on small hills in the path of moist unstable air (Schaaf et al. 1988). Local Convection Clouds commonly form over mountains during the day, especially in the summer, when nights and early mornings are clear but by mid-morning clouds begin to build, often culminating in thunderstorms with hail and heavy rain (Fuquay 1962; Baughman and Fuquay 1970; Flohn 1974). This has been well documented for the base of the Colorado Rockies, where the higher peaks of the Front Range provide a "heated chimney effect" in the initiation of thunder and hailstorms (Harrison and Beckwith 1951; Beckwith 1957; Banta and Schaaf 1987). Mountains serve as elevated heat-islands during the day, since their surfaces can be warmed to a similar temperature as surrounding lowlands (Raymond and Wilkening 1980). As a consequence, the air at a given altitude is much warmer over the mountains than over the valley (MacCready 1955). The lapse rate above the peaks, therefore, is considerably greater than in the surrounding free air, resulting in actively rising air. Glider pilots have long taken advantage of this fact (Scorer 1952, 1955; Ludlam and Scorer 1953). Airline pilots, on the other hand, make every effort to avoid the turbulence associated with unstable air over mountains (Reiter and Foltz 1967, Colson 1963,1969). Rarely, given weak synoptic conditions, local mountain convection can become organized into a meso-scale convective complex (Tucker and Crook 1999). These strong storms can reinforce themselves, spawning severe thunderstorms and even tornadoes (mountainadoes). Clouds and thunderstorms initiated in the Front Range frequently drift eastward, continuing to develop as they move onto the plains, and producing locally heavy precipitation (Chung et al. 1976; McGinley 1982). A study in the San Francisco Mountains north of Flagstaff, Arizona, suggests that clouds may increase in volume by as much as ten times after drifting away from a mountain source (Glass and Carlson 1963; Banta and Schaaf 1987). Most of the clouds observed in this area were small cumuli that eventually dissipated once removed from their supply of moist, rising air, but a large cumulonimbus could maintain itself independently of the mountains and result in storms at some distance away. Fujita (1967) found that there was a ring of low precipitation about 24 km (15 mi.) in diameter encircling these mountains, with an outer ring of heavier precipitation. During the day the rainfall is over the mountains but at night it falls over the lowlands because the mountains are relatively cold. A "wake effect" due to wave action created by airflow over the mountains may be partly responsible for the inner ring of light precipitation (Fujita 1967). A similar phenomenon occurs adjacent to the Rockies, on the Great Plains, where there is a second peaking of thunderstorm activity in the early evening (Bleeker and Andre 1951). Well-studied mountain convection phenomena are found in the San Francisco and Santa Catalina Mountains of Arizona. A number of studies have traced the initiation and development of convection and cumulus clouds over the range (Braham and Draginis 1960; Orville 1965; Fujita 1967). Figure 4.23 shows the change in temperature and moisture content over the Santa Catalina Mountains from early morning to midmorning. Note that the south facing slopes show considerably more thermal convection than the north facing slopes. On this particular day the base of the clouds was about 4,500 m (15,000 ft.), so the sun was not blocked and could continue to shine on the slopes to feed the thermal convection (Braharn and Draginis 1960). The height of the cloud base is very important to the development of convection in mountains, since once the sun is blocked the positive effect of solar heating is eliminated. The height of the cloud base is also critical to the distribution of precipitation, as is demonstrated in the San Gabriel Mountains, California (see p. 95). If the cloud base is below the level of the peaks, as it usually is in the winter, when forced ascent occurs, cloud growth and precipitation will take place mainly on the windward side. In summer, however, the base of convection clouds is generally much higher. Mountains, as sites of natural atmospheric instability, are ideal areas for artificial stimulation of precipitation. The considerable efforts that have been made in this regard have met with varied success, depending upon technique and local atmospheric conditions (Mielke et al. 1970; Chappell et al. 1971; Hobbs and Radke 1973; Grant and Kahan 1974; Deshler et al. 1990; Meyers et al. 1995; Long and Carter 1996). Most of the projects have been aimed at increasing the snowpack for runoff during the summer. This appears to be a desirable objective, but the ecological implications of such undertakings are far reaching (Weisbecker 1974; Steinhoff and Ives 1976). For example, the Portland General Electric Company of Portland, Oregon, hired a commercial firm during the winter of 1974/75 to engage in cloud seeding on the eastern side of the Cascades. The objective was to increase the snowpack in the Deschutes River watershed, where they have two dams and power-generating plants. Considerable success was apparently achieved, but problems arose when residents of small towns at the base of the mountains were suddenly faced with a marked increase in snow. There were new problems of transportation and of snow removal, as well as other hardships for the local people. Greater snowfall meant greater profits for the power company but it also meant greater expenses for the local people. Objections were raised in the courts, and the project was eventually halted. The positive effects of such programs must always be balanced against the negative. In our efforts to manipulate nature we are made increasingly aware of how little we understand the effects of our actions on natural systems. This is especially true of the mountain environment (Steinhoff and Ives 1976). Condensation Processes The presence of fog or clouds near the ground may result in increased moisture. Water droplets in fog and clouds are usually so small that they remain suspended, and even a slight wind will carry them through the air until they strike a solid object and condense upon it. You have experienced this, if water droplets have ever formed on your hair and eyebrows as you passed through a cloud or fog. Fog drip and rime deposits, which form at subfreezing temperatures, are responsible for an appreciable amount of the moisture in mountains, since elevated slopes are often in contact with clouds. Clouds. Cloud cover is generally more frequent and thicker over mountains than over the surrounding lowlands (Uddstrom et al. 2001). Forced lifting of moist air mass over the topographic barrier is the primary cause, although it may be augmented by convective processes. A slowing of storm movement by the blocking effect also leads to an increase in cloud water-content (Pedgley 1971). Cloud type in mountain areas is primarily determined by synoptic characteristics. In middle and high latitudes, stratiform clouds are common, especially during winter in the absence of convection. These clouds often envelope the ground as hill fog. Middle latitude summers, continental, subtropical, and tropical areas typically have cumulus clouds associated with convection. A problem relating to cloud data from mountain stations is the clouds often engulf the observer, obstructing the view of the cloud forms. Likewise, cloud tops can be below the station. A number of cloud forms are unique to mountain environments (Ludlam 1980). All of them are stationary clouds, which continually dissipate on the lee edge of the cloud and reform on the upwind edge, thus appear to remain in the same location for long periods. A cap or crest cloud forms over the top of an isolated peak or ridge. They resemble a cumulous cloud, although are often streamlined, or have streamers of cirrus forms. They sit near or just below the summit level, appearing like a hat atop the peak. Banner clouds are cap cloud which extent downwind from the peak like a flag waving in the wind. This form is sometimes difficult to distinguish from streamers of snow blowing from summits. Lenticular clouds are lens-shaped clouds formed in regular spaced bands parallel to the mountain barrier on the lee side (Figs. 4.39-4.42). These streamlined cloud features form by the interaction of high velocity winds with the mountain barriers (see p. 119). Stratification of humidity in the atmosphere can result in multi-storied lenticular clouds, forming a �pile of plates� or �pile of pancakes� (Fig. 4.42). These sometimes eerie looking clouds might be responsible for the �flying saucer� scare of the 1950s, which originated from a sighting of �a disc-shaped craft skimming along the crest of the Cascades Range in Washington� (Arnold and Palmer, 1952). Fog Drip. Fog drip is most significant in areas adjacent to oceans with relatively warm, moist air moving across the windward slopes. In some cases, the moisture yield from fog drip may exceed that of mean rainfall (Nagel 1956). The potential of clouds for yielding fog drip depends primarily upon their liquid content, the size of the cloud droplet spectrum, and the wind velocity (Grunow 1960; Vermeulen et al. 1997). The amount that occurs at any particular place depends upon the nature of the obstacles encountered and their exposure to the clouds and wind. For example, a tree will yield more moisture than a rock, and a needle-leaf tree is more efficient at "combing" the moisture from the clouds than a broadleaf tree (Cavelier and Goldstein 1989; Vermeulen et al. 1997). A tall tree will yield more moisture than a short one, and a tree with front line exposure will yield more than one surrounded by other trees. The tiny fog droplets are intercepted by the leaves and branches and grow by coalescence until they become heavy enough to fall to the ground, thereby increasing soil moisture and feeding the ground water table. If the trees are removed, of course, this source of moisture is also eliminated. Many tropical and subtropical mountains sustain so called "cloud forests," which are largely controlled by the abundance of fog drip (Cavelier and Goldstein 1989). Along the east coast of Mexico in the Sierra Madre Oriental, luxuriant cloud forests occur between 1,300 2,400 m (4,300 7,900 ft.). The coastal lowlands are arid by comparison, as is the high interior plateau beyond the mountains. Measurements in both of these drier areas show little increase in available moisture due to fog drip, whereas on the middle and upper slopes the process boosts moisture by more than 50% at one site located at 1,900 m (6,200 ft.), the increase over rainfall was 103% (Vogelman 1973). These cloud forests were at one time much more extensive, but they have been severely disturbed by humans and are now in danger of being eliminated. On the northeast slopes of Mauna Loa, Hawai�i, at 1,500 2,500 m (5,000 8,200 ft.), above the zone of maximum precipitation, fog drip is likewise a major ecological factor in the floristic richness of the forests. During a twenty eight week study, fog drip was found to provide 638 mm (25.3 in.) of moisture at an elevation of 1,500 m (5,000 ft.); and at 2,500 m (8,200 ft.) it provided 293 mm (11.5 in.), which was 65% of the direct rainfall (Fig. 4.24; Juvik and Perreira 1974; Juvik and Ekern 1978). The contribution of fog drip on middle and upper mountain slopes in the lower latitudes is clearly a major factor in the moisture regime. The relationship between the cloud forest and fog drip is essentially reciprocal. The trees cause additional moisture in the area. At the same time, the trees apparently need the fog drip in order to survive. This is particularly true in areas with a pronounced dry season, at which time fog drip provides the sole source of moisture for the plants. In the middle latitudes, fog drip is less critical to the growth of trees, but it can still be important (Grunow 1955; Costin and Wimbush 1961; Vogelmann et al. 1968). This can be seen in the mountains of Japan, where there is heavy fog at intermediate altitudes (Fig. 4.25). Rime Deposits. Rime is formed at subfreezing temperatures when supercooled cloud droplets are blown against solid obstacles, freezing on them (Hindman 1986; Berg 1988). Rime deposits tend to accumulate on the windward side of objects (Fig. 4.26). The growth rate is directly related to wind velocity. In extreme cases the rate of growth may exceed 2.5 cm (1 in.) per hour, although a typical rate is usually less than 1 cm (0.4 in.) per hour (Berg 1988). Rime deposits can reach spectacular dimensions and, by their weight, cause considerable damage to tree branches, especially if followed by snow or freezing rain. Trees at the forest edge and at timberline frequently have their limbs bent and broken by this process; power lines and ski lifts are also greatly affected (Fig. 4.26). One study in Germany measured a maximum hourly growth of 230 g per m (8.1 oz. per 3.3 ft.) on a power-line cable (Waibel 1955, in Geiger 1965). The stress caused by this added weight may cause a power failure if the supporting structures are not properly engineered. Rime accumulation is a severe obstacle to the maintenance of mountain weather stations because instruments become coated, making accurate measurements extremely difficult. Some instruments can be heated or enclosed in protected housing, but the logistical problems of accurately monitoring the alpine environment are very great. The U.S. Weather Bureau Station on Mount Washington, New Hampshire, where rime forming fogs are frequent and the wind is indefatigable, exemplifies the problems encountered (Smith 1982). This mountain has been nominated as having the worst weather in the world (Brooks 1940). It is foggy over 300 days a year, or about 87% of the time; wind velocities there average 18 m/sec. (40 mph) with frequent prolonged spells of 45 m/sec. (100 mph) and occasional extremes of over 90 m/sec. (200 mph) (Pagliuca 1937; Smith 1982). Few investigations have been made concerning the moisture contribution of rime. It is known to be generally somewhat less than fog drip, but it may nevertheless be significant. A study in the eastern Cascades of Washington indicates that timbered areas above 1,500 m (5,000 ft.) receive an added 50 125 mm (2 5 in.) of moisture per year from this source (Berndt and Fowler 1969). Considerably greater amounts have been measured in Norway (Table 4.5). Rime is found primarily in middle latitude and polar mountains, although it also occurs at the highest elevations in the tropics. Like fog drip, it is most effective on forest covered slopes that provide a large surface area for its accumulation. At very high altitudes and at latitudes where total precipitation is low, rime deposits on glaciers and snowfields may constitute the primary source of the water taken from the air. Zone of Maximum Precipitation Precipitation is generally thought to increase only up to a certain elevation, beyond which it decreases (Lauer 1975; Miller 1982). The argument is that the greatest amount of precipitation will usually occur immediately above the cloud level because most of the moisture is concentrated here. As the air lifts and cools further, the amount of precipitation will eventually decrease, because a substantial percentage of the moisture has already been released on the lower slopes (Miniscloux et al. 2001). In addition, the decreased temperature and pressure at higher elevations reduce the capacity of the air to hold moisture. The water vapor content at 3,000 m (10,000 ft.) is only about one third that at sea level. Forced ascent also plays a part, since the air, seeking the path of least resistance, will generally move around the higher peaks rather than over them. The concept of a zone of maximum precipitation was developed over a century ago from studies in tropical mountains and in the Alps (Hann 1903). Other studies seemed to confirm the concept and its application to other areas (Lee 1911; Henry 1919; Peattie 1936; Lauer 1975). The elevation of maximum precipitation varies geographically, depending upon the synoptic setting (Barry 1992; McGinnis 2000). Tropical mountains tend to have precipitation maxima at lower elevations, with the maximum zone rising with decreasing annual totals (Fig. 4.28). In middle latitudes, the general trend is for precipitation to increase with elevation, often to the highest observation station (Schermerhorn 1967; Hanson, 1982; Alpert, 1986; Marwitz 1987). Using precipitation and accumu l a t i o n d a t a f o r w e s t e r n G r e e n l a n d , a z o n e o f m a x i m u m p r e c i p i t a t i o n w a s f o u n d a t ~ 2 , 4 0 0 m a t 6 9 �N l a t i t u d e a n d l o w e r i n g n o r t h w a r d t o ~ 1 , 5 0 0 m a t 7 6 �N ( O h m u r a 1 9 9 1 ) . T h e e x i s t e n c e o f s u c h a z o n e h a s b e e n c h a l l e n g e d , a s c a l c u l a t i o n s o f t h e a m o u n t o f p r e c i p i t ation necessary to maintain active glaciers in high mountains and observations of relatively heavy runoff from small alpine watersheds seem to call for more precipitation in certain mountain areas than climatic station data would indicate (Court 1960, Anderson 1972; Slaymaker 1974). Currently, the situation is moot, the problem being one of measurement. There are very few weather stations in high mountains, and even where measurements are available, their reliability is questionable (Sevruk 1986; 1989). As one author says, "Precipitation in mountain areas is as nearly unmeasureable as any physical phenomenon" (Anderson 1972, p. 347). This is particularly true at high altitudes with strong winds. Not surprisingly, many studies have shown that wind greatly affects the amount of water collected in a rain gauge (Fig. 4.27; Court 1960; Brown and Peck 1962; Hovind 1965; Rodda 1971). Considerable effort has been made to alleviate this problem by the use of shields on gauges, by location in protected sites, by use of horizontal or inclined gauges, and by the use of radar techniques (Storey and Wilm 1944; Harrold et al. 1972; Peck 1972b; Sevruk 1972; Rango et al. 1989). To measure snow is even more difficult, since the wind not only drives falling snow but redistributes it after it is on the ground (Goodinson et al. 1989). Correction factors have been developed for certain types of gauges (Goodinson et al. 1989; Sevruk 1989; Kyriakidis et al. 2001). There are also problems in storage and melting of snow for water equivalency, as well as the losses due to evaporation. The major problem, however, is accurate monitoring of snowfall. Small clearings are used in conifer forests, and above timberline snow fences are increasingly being used to enclose and shield the gauges. This still does not guarantee accurate measurements, but shielded gauges (whether for rain or snow) do record greater amounts of precipitation than unshielded gauges in the same location (Goodinson et al. 1989). For example, the University of Colorado has since 1952 operated a series of weather stations in the Front Range of the Rocky Mountains (Marr 1967; Marr et al. 1968a, b). The measured precipitation amounts from the two highest sites above treeline increased abruptly in 1964 when snow fences were erected around the recording gauges. Before the gauges were shielded, the average annual amount was 655 mm (25.8 in.); it jumped to 1,021 mm (40.2 in.) and 771 mm (30.3 in.), respectively, after the snow fence was installed (Barry 1973). The data now show an absolute increase in precipitation with increasing elevation (Table 4.6). More reliable instrumentation in the Alps has led to similar results, at least up to an elevation of 3,000 m (10,000 ft.) (Flohn 1974; Schmidli et al. 2002). Studies of snow accumulation at still higher elevations, in the Saint Elias Mountains, Yukon Territory, indicate decreasing amounts beyond 3,000 m (10,000 ft.), although there is a steady increase at lower elevations at least up to 2,000 in (6,000 ft.) (Murphy and Schamach 1966; Keeler 1969; Marcus and Ragle 1970, Marcus 1974b). Snow accumulation in alpine watersheds can be investigated more thoroughly by collecting depth and density data from snow pits, which can be converted to water equivalent (�strem and Brugman 1991). In North America, an extensive network of over 1,200 snow courses are surveyed on a monthly by the Natural Resources Conservation Service (NRCS, formally the Soil Conservation Service) of the U.S. Department of Agriculture (NRCS 1997). Snow courses are where depth and density is measured manually to estimate annual water availability, spring runoff, and summer streamflows. In more remote locations of the western United States, a network of over 650 automated snow reporting stations have been installed. The SNOTEL (Snow Telemetry) network uses an air filled pillow attached to a pressure gauge to measure snowpack weight, which is transmitted via VHF signals to a data collection station (NRCS 1997). Combining field measurements of snow-water-equivalency with topographic data (slope and aspect) and net radiation, estimates of watershed snowpack water content can be modeled (Elder et al. 1989; Susong et al. 1999). Another problem with precipitation analysis in mountains is that many weather stations are located in valleys. Uncritical use of these data may lead to erroneous results (Benizou 1989). Valleys oriented parallel to the prevailing winds may receive as much or more precip itation than the mountains on either side, while valleys oriented perpendicular to the prevailing winds may be "dry holes" (Collie and Mass 1996; Neiman et al. 2002). In addition, local circulation systems between valleys and upper slopes may result in val leys being considerably drier than the ridges (see p. 111). For example, in parts of the Hindu Kush, Karakoram, and Himalayas, many valleys are distinctly arid (Schwein furth 1972; Troll 1972b). These contrast sharply with the adjacent mountains, where large glaciers exist. Some glaciologists have estimated an average annual precipitation of over 3,000 mm (120 in.) for the glacial area, compared to 100 mm (4 in.) in the valleys, data that seem to support the idea of a steady increase of precipitation with elevation (Flohn 1968, 1969a, 1970). On the other hand, it is argued that little precip itation is required to maintain a glacier under such low temperatures, owing to the relatively small losses to be expected through ablation (Hock et al. 2002). Several studies have pro vided evidence for a zone of maximum pre cipitation at about 2,000 m (6,600 ft.) along the southern slope of the Himalayas (Dhar and Narayanan 1965; Dalrymple et al. 1970; Khurshid Alam 1972). The high, sheltered inner core of the Himalayas is arid (Troll 1972c). In the tropics, decrease of precipitation above a certain elevation is much better es tablished (Fig. 4.28; Lauer 1975). The precipitation falls principally as rain, with snow or rime on the highest peaks, and tropical mountains experience considerably less wind than in middle lati tudes. As a result, simple rainfall measure ments are more dependable. The zone of maximum precipitation varies according to location. In the tropical Andes and in Cen tral America it lies between 900 1,600 m (3,000 5,300 ft.) (Hastenrath 1967; Weischet 1969; Herrmann 1970). Mount Cameroon in West Africa near the Gulf of Guinea receives an annual rainfall of 8,950 mm (355 in.) on the lower slopes but less than 2,000 mm (80 in.) at the summit. The zone of maximum precipitation occurs at 1,800 m (6,000 ft.) (Lefevre 1972). In East Africa, measurements on Mount Kenya and Mount Kilimanjaro show an increase up to the montane forest belt at 1,500 m (5,000 ft.) and then a sharp decrease (Fig. 4.28). The maximum zone receives about 2,500 mm (100 in.) but less than 500 mm (20 in.) falls on the summit areas. The effects of low rainfall, high sun intensity, and porous soils give the alpine belt a desert like appearance, although both summit areas support small glaciers (Hedberg 1964; Thompson 1966; Coe 1967). Desert like conditions exist at the summits of many tropical mountains (Fig. 4.29). On the islands of Indonesia and on Ceylon the zone of maximum precipitation varies between 900 1,400 m (3,000 4,600 ft.) (Domr�s 1968; Weischet 1969), while it lies between 600 900 m (2,000 3,000 ft.) in Hawai�i (Blumenstock and Price 1967; Juvik and Peffeira 1974; Nullet and McGranaghan 1988). The decrease immediately above the zone of maximum precipitation is counteracted somewhat by the presence of fog drip, however, since this is a zone of frequent cloudiness (Fig. 4.24). The vertical distribution of precipitation illustrates yet another environmental distinction between tropical and extratropical mountains. The presence of a zone of maximum precipitation is well established for the tropics, but is less defined in the middle latitudes. Although there are insufficient measurements to settle the question categorically, evidence from mass balance studies on glaciers, runoff from mountain watersheds, and improved methods of instrumentation seem to indicate that precipitation continues to increase with altitude in middle latitudes at least up to 3,000 3,500 m (10,000 11,000 ft.). The decrease beyond moderate elevations in the tropics is explained by the dominance there of convection rainfall, which means that the greatest precipitation occurs near the base of the clouds. Where forced ascent is important the level may be somewhat higher, but it does not vary over a few hundred meters. In many tropical areas an upper air inversion composed of dry, stable air tends to restrict the deep development of clouds. This is the case on Mount Kenya and on Kilimanjaro, as well as on Mauna Loa and Mauna Kea in Hawai�i (Juvik and Perreira 1974; Ramage and Schroeder 1999). The continued increase of precipitation with elevation in the middle latitudes is somewhat more difficult to explain. The water vapor content of the air decreases at the higher levels just as it does in the tropics. Precipitation in middle latitude mountains is caused primarily by forced ascent rather than convection, however. Orographic lifting becomes stronger as the wind grows stronger, and wind velocity increases markedly in middle latitudes. Apparently, this factor is more than enough to compensate for the absolute decrease in water content. The water vapor transport is at its maximum in the westerlies at about the 700 millibar level, i.e., at 3,000 m (10,000 ft.). Consequently, it is postulated that precipitation continues to increase at least up to this level (Havlik 1969). In tropical mountains, however, the wind tends to decrease with elevation above 11000 m (3,300 ft.), so the decrease in water content of the air becomes more effective and precipitation decreases beyond this point (Weischet 1969; Rohn 1974). Runoff Mountain surface runoff is related to topographic, biotic, pedologic, and particularly the climatic characteristics of a watershed (Miller 1982; Alford 1985). In particular, seasonality of precipitation inputs, temperatures, snowpack characteristics, and non-precipitation water sources (i.e. groundwater and glaciers) are important variables in determining the amount of water flowing down a mountain stream (Martinec 1989; Lins 1999; Peterson et al. 2000). Globally, mountain runoff displays significant temporal and spatial variation. The temporal heterogeneity arises from the intraannual, interannual, and secular changes in temperature, precipitation and other climatic factors (Rebetez 1995; Lins 1999). Spatial heterogeneity is due to climatic, topographic, biotic, land-use, and pedologic variability within and between mountains, making generalities about mountain hydrology difficult. The two generalities of mountain hydrology are the generation of flood events and the influences of snowpack meltwater. Steep slopes, generally thin soils and generally high rain intensities in mountains often result in elevated rates of overland flow compared lowlands (Miller 1982; Dingman 1993). During lingering or moisture-ladened storms the delivery rate of runoff to main rivers can exceed the channel capacity and a flood results. Flooding typically occurs with regular intervals for a particular watershed, determined by its hydrologic characteristics (Castro and Jackson 2001). While floods can cause damage to mountain valleys, often their impacts are felt more strongly in the lowlands adjacent to the mountains, where flood magnitude is often larger due to the cumulative flow of many tributaries. Snow meltwater has four principal impacts on watershed hydrology: lowering stream temperature, sudden contributions to discharge resulting from rapid melting (rain on snow events), an increase in melt-season discharge and decrease in snow-accumulation season discharge, and a decrease in annual and especially seasonal variations in runoff (Male and Gray 1981). The changes in average seasonal discharge due to snowmelt are illustrated in Figure 30. Differences in discharge in these side-by-side mountainous watersheds of the same size are due to elevational effects on snowfall (Bach in review). During the month of October, the beginning of the wet season, both basins have similar discharges. Between November and about April two differences become apparent in the flow characteristics. The higher elevation basin discharge becomes smaller in volume and less variable than the lower basin (Fig. 4.30). The decrease in volume is due to more precipitation falling in the form of snow and accumulating in the upper basin, while rain falls throughout the winter in the lower basin and runs off. The greater temporal variability (as indicated by the wiggles in the line) in the lower basin is due to the chaotic timing of storms throughout the period of record. In March, temperatures begin to warm and the snowmelt season begins, a few weeks earlier in the lower basin (Fig. 4.30). The variability of discharge decreases in both basins (lines become smoother), indicating a change from storm event dominated runoff to temperature driven snowmelt runoff (Peterson et al. 2000). The peak in the snowmelt flood of the lower basin occurs about one month earlier and is only 70% the size of the upper basin, reflecting the difference in snowpack volume. These runoff characteristics are further exasperated by the presence of glaciers in the watershed (Fountain and Tangborn 1985). Besides the daily to weekly variations caused by storm events, and the seasonal variations through out a year, streamflow regimes in mountains are prone to interannual and secular variations related to large-scale patterns of climate variations such as the El Ni�o/Southern Oscillation (Trenberth 1999). The type of climatic variations vary around the globe, but generally result in extreme weather and climate conditions such as flooding, droughts, different storm frequency and precipitation, or changes in snowmelt season (Karl et al. 1999). Global warming is likely to increase the frequency and magnitude of these climatic variations and their impacts on the hydrological system (Barry 1990; Trenberth 1999). High-elevation snowsheds are important to the regional water supply, as they provide water for domestic, industrial and agricultural users; recreation; hydroelectric power; habitat; and produce flood hazards. Rapid population growth, increasing environmental concerns, and resulting changes in the character of water demands have led to increased competition for water even under normal flow conditions. Water management practices, storage infrastructure, and patterns of use are tuned to the expected range of variation in surface runoff and groundwater availability (Robinson 1977). The abundant surface water supply from mountainous regions has promoted a historic reliance on this resource in adjacent lowlands. Effective water development planning and policy making must recognize how changes in upper watershed conditions will impact lowland water resources (Hulme et al. 1999). New reservoirs and water transfer systems require considerable lead time to plan and construct. Such structures will be necessary to deal with changing water supplies conditions that will exist in the future. Winds Mountains are among the windiest places on earth. They protrude into the high atmosphere, where there is less friction to retard air movement. There is no constant increase in wind speed with altitude, but measurements from weather balloons and aircraft show a persistent increase at least up to the tropopause where, in middle latitudes, the wind culminates in the jet streams. Similar increases occur in mountains, although the conditions at any particular site are highly variable. Wind speeds are greater in middle latitudes than in tropical or polar areas, in marine than in continental locations, in winter than in summer, during the day than at night, and, of course, the velocity of the wind is dependent on the local topographic setting and the overall synoptic conditions (Smith 1979; Gallus et al. 2000). The wind is usually greatest in mountains oriented perpendicular to the prevailing wind, on the windward rather than the leeward side, and on isolated, unobstructed peaks rather than those surrounded by other peaks. The reverse situation may exist in valleys, since those oriented perpendicular to the prevailing winds are protected while those oriented parallel to the wind may experience even greater velocities than the peaks, owing to funneling and intensification (Ramachandan et al. 1980). Table 4.7 lists the mean monthly wind speeds during the winter for several representative mountain stations in the northern hemisphere. Mountains greatly modify the normal wind patterns of the atmosphere (Smith 1979; Bossert and Cotton 1994). Their effect may be felt for many times their height in both horizontal and vertical distance. The question of whether the wind speed is greater close to mountains or in the free air has long been problematic. The two basic factors that affect wind speeds over mountains operate in opposition to on another. The vertical compression of airflow over a mountain causes acceleration of the air, while frictional effects cause a slowing. Frictional drag in the lowest layers of the atmosphere is caused by the interaction of air with individual small-scale roughness elements (i.e. vegetation, rocks, buildings or landforms < 10 m dimensions) and by influence of larger topographic features and vegetation canopies (Richard et al. 1989; Taylor et al. 1987; 1989; Walmsley et al. 1989). It is generally believed that the wind near mountains is greater, because of compression and forcing of the air around the peak like water around a rock in a stream (Schell 1935, 1936; Conrad 1939; Ryan 1977; Woodbridge et al. 1987; Taylor et al. 1989). However, studies in the Alps indicate that the wind speed on these mountain summits averages only about one half that of the free air (Wahl 1966; Davies and Phillips 1985). Both of these situations may in fact occur; much depends upon the stability of the air mass and the size and configuration of the mountain. Generally, the more stable the air, the greater the compression, because the air will resist lifting in its passage, and this will result in increased wind speeds near the surface (Lee et al. 1987). On the other hand, if the air is unstable, it will tend to rise on its own accord as it is forced up over the mountain, and this will result in greater wind speeds aloft. The vertical velocity gradient of the wind is largely a function of the interplay between compressional and frictional effects (Gallus et al. 2000). Compression tends to create greater velocities near the surface, decreasing upward, whereas friction tends to cause lower velocities near the surface, increasing upward (Carruthers and Hunt 1990). Consequently, the wind speeds in any given mountain area may have very different distributions in time and space (Schell 1936). The sharpest gradient in wind speed usually occurs immediately above the surface. Wind speed doubles or triples within the first few meters, but the vegetation and surface roughness make a great difference in the absolute velocity (Fig. 4.31). At a height of 1 m (3.3 ft.) the wind speed in a closed-forest immediately below timberline is less than half that in the open tundra just above timberline (Richard et al. 1989). The low lying foliage of alpine vegetation does not produce much frictional drag on the wind, so the wind can reach quite high velocities close to the ground. There is nevertheless a sharp gradient within the first few centimeters of the surface, and most alpine plants escape much of the wind (Warren Wilson 1959). A reciprocal and reinforcing effect is operative here: taller vegetation tends to reduce the wind speed and provide a less windy environment for plants, while low-lying alpine vegetation provides little braking effect, so the wind blows freely and becomes a major factor of stress in the environment. Under these conditions the presence of microhabitats becomes increasingly important. Surface roughness caused by clumps of vegetation and rocks creates turbulence and hence great variability in wind speed near the surface (Fig. 4.32). In the illustration, wind speed at a height of 1 m (3.3 ft.) above the grass tussock is 390 cm/sec., while closer to the ground it is 50 cm/sec. on the exposed side of the tussock and 10 cm/sec. on the lee side (Fig. 4.32a). Similar conditions exist with the eroded soil bank, except that wind speeds are higher on the exposed side and there is more eddy action and reverse flow to the lee. The restriction of the vegetation to the lee of the soil bank is largely due to the reduced wind speed there (Fig. 4.32b). The wind follows a similar pattern across the rock, with small eddies developing in depressions and to the lee (Whalsley et al. 1989). A mat of vegetation occupies the center depression where wind speeds are less (Fig. 4.32c). Wind is clearly an extreme environmental stress; in many cases it serves as the limiting factor to life. What may be the two most extreme environments in mountains are caused by the wind: late lying snowbanks, where the growing season is extremely short, and windswept, dry ridges. Both of these environments become more common and more extreme with elevation, until eventually the only plants are mosses and lichens or perhaps nothing at all (but see p. 292). Trees on a windswept ridge may be �flagged� with the majority of branch growth on the protected lee-side (Yoshino 1973; Fig. 8.17 and 8.18). In the extreme conditions within the krummholz (crooked wood) zone, trees take on a prostate cushion form (Fig. 8.19) The redistribution of snow by the wind is a major feature of the alpine environment. The wind speed necessary to pick snow up from the surface and transport it, depends upon the state of the snow cover, including temperature, size, shape and density of the snow particles and the degree of intergranular bonding (Tabler 1975). For loose, unbound snow the typical velocity is about 5 m/s, while a dense bonded snow cover requires velocities in excess of 25 m/s. Blowing snow can abrade surfaces, causing erosion to snow cover and flagging trees. Once the wind velocity lowers, the snow is deposited into dune-like features called drifts. Drifts are found in the lee-eddy of obstacles of all sizes (e.g trees, ridges, fences; Fig. 4.27). To control blowing snow, snow fences and other barriers are specially engineered to maximize deposition, and carefully placed to reduce the hazard of blowing snow or drifts (Ring 1991). In mountains, snow redistribution by wind is strongly affected by meso- and micro-scale topography and vegetation (F�hn 1980; Meister 1987; Tesche 1988). Topographic traps fill in with snow, where it may survive late into spring or summer due to its depth and temperature inversions. The deposition of drifts is an important component to alpine water storage and spring runoff (Elder et al. 1989). Many glaciers have a significant component of their accumulation from snow blown over crests (F�hn 1980; Pelto, 1996). There are two overall groups or types of winds associated with mountains. One type originates within the mountains themselves. These are local, thermally induced winds given distinct expression by the topography. The other type is caused by obstruction and modification of winds originating from outside the mountain area. The first type is a relatively predictable, daily phenomenon, while the second is more variable, depending as it does on the vagaries of changing regional wind and pressure patterns. Local Wind Systems in Mountains Winds that blow upslope and upvalley during the day and downslope and downvalley at night are common. Albrecht von Haller, author of Die Alpen, observed and described these during his stay in the Rh�ne Valley of Switzerland from 1758 to 1764. Since then many studies (summarized by Defant 1951; Geiger 1965; and Rohn 1969b; Barry 1992) have been made on thermally induced winds. The driving force for these winds is differential heating and cooling which produces air density differences between slopes and valleys and between mountains and adjacent lowlands (McGowan and Sturman 1996a). During the day, slopes are warmed more than the air at the same elevation in the center of the valley; the warm air, being less dense, moves upward along the slopes. Similarly, mountain valleys are warmed more than the air at the same elevation over adjacent lowlands, so the air begins to move up the valley. These are the same processes that give rise to convection clouds over mountains during the day and provide good soaring for glider pilots (and birds). At night, when the air cools and becomes dense, it moves downslope and downvalley under the influence of gravity. This is the flow responsible for the development of temperature inversions. Although they are interconnected and part of the same system, a distinction is generally made between slope winds, and larger mountain and valley wind systems (Fig. 4.33). Slope Winds. Slope winds consist of thin layers of air, usually less than 100 m (330 ft.) thick. In general, the upslope movement of warm air during the day is termed anabatic flow, and the downslope movement of cold air during the night is referred to as katabatic flow, or a gravity or drainage wind. The upslope flow of air during the day is associated with surface heating and the resulting buoyancy of the warm air (Vergeiner and Dreiseitl 1987). The wind typically begins to blow uphill about one half hour after sunrise and reaches its greatest intensity shortly after noon (Fig. 4.33a). By late afternoon the wind abates and within a half hour after sunset reverses to blow downslope (Fig. 4.33c). Katabatic winds in the strict sense are local downslope gravity flows caused by nocturnal radiative cooling near the surface under calm, clear-sky conditions, or by the cooling of air over a cold surface such as a lake or glacier. The extra weight of the stable layer, relative to the ambient air at the same altitude, provides the mechanism for the flow. Since slope winds are entirely thermally induced, they are better developed in clear weather than in clouds, on sun exposed rather than on shaded slopes, and in the absence of overwhelming synoptic winds. Local topography is important in directing these winds; greater wind speeds will generally be experienced in ravines and gullies than on broad slope (Defant 1951; Banta and Cotton 1981; McKee and O�Neal 1989). Downslope winds form better at night and during the winter, when radiative cooling dominates the surface energy system (Horst and Doran, Barr and Orgill 1989). The down slope flow of cold air is analogous to that of water, since it follows the path of least resistance and always gravitates toward equilibrium, but water has a density 800 times greater than air (Bergen 1969). Even with a temperature difference of 10 �C ( 1 8 �F ) , t h e d e n s i t y o f c o l d a i r i s o n l y 4 % g r e a t e r t h a n w a r m a i r , u n l i k e t h e r a p i d f l o w o f w a t e r d u e t o g r a v i t y , t h e d i s p l a c e m e n t o f w a r m a i r b y c o l d a i r i s a r e l a t i v e l y s l o w p r o c e s s ( G e i g e r 1 9 6 9 ) . K a t a b a t i c w i n d s b e g i n p e r i o d i c a l l y a s t h e l a y e r o f a i r just above the surface cools, then slides downslope (Papadopoulos and Helmis 1999). The cycle is repeated when the radiative cooling rebuilds the downslope pressure gradient. This pulsating downslope flow depends on the temperature difference between the katabatic layer and the valley temperature (McNider 1982). Surges of cold air are commonly observed on slopes greater than 10�, and are referred to as �air avalanches� (Scaetta 1935; Geiger 1969). A final steady velocity will be achieved once a certain temperature has been reached (Papadopoulos and Helmis 1999). Further down a drainage basin a steady velocity will be reached, maintained, and increased through out the night as individual slope winds accumulate down basin in a similar fashion to tributaries in a stream (Neff and King 1989; Porch et al. 1989). Closed basins, even created by dense forest cover, can trap the cold air creating cold pockets or �frost hollows� (Thompson 1986; Neff and King 1989). These temperature inversions can reach 30�C below the ambient atmosphere, persisting for weeks to months, effectively trapping atmospheric contaminants until sufficient winds can clear the air (Geiger 1965; McGowan and Sturman 1993; Iijima and Shinoda 2000). These have obvious significance for a number of human activities, such as agriculture, forestry, tourism and air pollution. In the wine producing regions of Germany, hedges are frequently planted above the vineyards to deflect cold air from upslope (Geiger 1969). Upslope winds form best during the day and during the summer when surfaces are radiatively warmed (Banta 1984; 1986). The upslope wind does not rise far above the ridge tops since it is absorbed and overruled by the regional prevailing wind. The upward movement of two slope winds establishes a small convection system in which a return flow from aloft descends in the center of the valley (Figs. 4.32, 4.33; cf. Fig. 4.33a). This descending flow brings from aloft drier air that has been heated slightly by compression and thus is strongly opposed to cloud formation. For this reason the dissipation of low lying fog and clouds generally takes place first in the center of the valley (Fig. 4.34). If the valley is deep enough, the dry descending air can produce markedly arid zones. In the dry gorges and deep valleys of the Andes of Bolivia and in the Himalayas, the vegetation ranges from semi desert shrubs in valley bottoms to lush forests on the upper slopes where clouds form (Troll 1952, 1968; Schweinfurth 1972). Mountain and Valley Winds. The integrated effects of slope generated flows produce mountain and valley winds, blowing longitudinally up and down the main valleys, essentially at right angles to the slope winds (Whiteman 1990; Clements 1999). They are all part of the same system, however, and are controlled by similar thermal responses. The valley wind (blowing from the valley toward the mountain) is interlocked with the upslope winds, and both begin after sunrise (Buettner and Thyer 1962, 1965; Banta 1984; 1986; Fig. 4.33b). Valley winds involve greater thermal contrast and a larger air mass than slope winds, however, so they attain higher wind speeds. In the wide and deep valleys of the Alps, the smooth surfaces left by glaciation allow maximum development of the wind. The Rh�ne Valley has many areas where the trees are wind shaped and flagged in the upvalley direction (Yoshino 1964b). Mountain winds (blowing from the mountains down valley) are associated with the nocturnal downslope winds and can be very strong and quite cold in the winter (Porch et al. 1989; Whiteman 1990; Fig, 4.31d). As with slope winds, a circulation system is established in mountain and valley winds. The return flow from aloft (called an anti-wind) can frequently be found immediately above the valley wind (Bleeker and Andre 1951; Defant 1951). This concept was formerly only theoretical, but study of valley winds near Mount Rainier, Washington, using weather balloons, clearly identified the presence of anti-winds (Fig. 4.35; Buettner and Thyer 1965). This wind system beautifully demonstrates the three dimensional aspects of mountain climatology: next to the surface are the slope and mountain valley winds; above them is the return flow or anti-wind; and above this is the prevailing regional gradient wind (McGowan and Sturman 1996a; Clements 1999). During clear weather all of these may be in operation at the same time, each moving in a different direction. Other Local Mountain Winds. An important variant of the thermal slope wind is the glacier wind, which arises as the air adjacent to the icy surface is cooled and moves downslope due to gravity. The glacier wind has no diurnal period but blows continuously, since the refrigeration source is always present. It reaches its greatest depth and intensity at mid afternoon, however, when the thermal contrast is greatest. At these times the cold air may rush downslope like a torrent. During the day the glacier wind frequently collides with the valley wind and slides under it (Fig. 4.36). At night it merges with the mountain wind that blows in the same direction (Defant 1951). In mountains like the Rockies or Alps, with small valley glaciers, the glacier winds are fairly shallow, but when glaciers are as extensive as they are in the St. Elias Mountains or the Alaska Range, the wind may be several hundred meters in depth (Marcus 1974a). Glacier winds have a strong ecological effect, since the frigid temperatures are transported downslope with authority and the combined effect of wind and low temperatures can make the area they dominate quite inhospitable. In a valley with a receding glacier, these winds can entrain the unconsolidated till, sand-blasting vegetation and rocks (into ventifacts) down valley (Bach 1995). Another famous local wind in mountains is the Maloja wind, named after the Maloja Pass in Switzerland between the Engadine and Bergell valleys (Hann 1903; Defant 1951; Whipperman 1984). This wind blows downvalley both day and night and results from the mountain wind of one valley reaching over a low pass into another valley, where it overcomes and reverses the normal upvalley windflow. This anomaly occurs in the valley with the greater temperature gradient and the ability to extend its circulation into the neighboring valley across the pass. Thus, the wind ascends from the steep Bergell Valley and extends across the Maloja Pass downward into the Engadine Valley to St. Moritz and beyond. A similar situation exists in the Davos Valley, Switzerland (Flohn 1969b). A related phenomenon occurs in coastal areas where a strong sea breeze moves inland and over low passes in such a way that the wind blows down the lee mountain slope during the day. This is well developed on the asymmetric escarpments of the Western Ghats in India. In the equatorial Andes, cool air from the Pacific moves inland in a shallow surface layer overflowing the lower passes into the valleys beyond, producing relatively cool flows down the east side of the range (Lopez and Howell 1967). In some cases these winds are forced up the opposite slopes in a hydraulic jump phenomenon (Gaylord and Dawson 1987), producing afternoon rainfall (Fig. 4.37). Other examples of local winds could be given, since every mountainous country has its own peculiarities, but those mentioned suffice to illustrate their general nature. Mountain Winds Caused by Barrier Effects As mentioned earlier in the chapter, mountains can act as barriers to the prevailing general circulation of the atmosphere. The barrier effect introduces turbulence to the winds, increasing and decreasing speeds, changes directions, and modifies storms (reviewed earlier). Once the wind passes over the mountain crest however, it will do one of two things: flow down the lee-side or stay lifted in the atmosphere (Durran 1990). Most commonly the wind will fall down the lee-side of mountains under the influence of gravity. These surface winds are sometimes collectively termed fall winds, but are known by a variety of local terms because they have long been observed in many regions downwind from mountains, and have associated with them distinct weather phenomenon. When the winds leave the surface in a hydraulic jump, they often travel through the atmosphere in a wave motion, producing unique cloud-forms. Foehn Wind. Of all the transitory climatic phenomena of mountains the foehn wind (pronounced "fern" and sometimes spelled f�hn) is the most intriguing. Many legends, folklore, and misconceptions have arisen about this warm, dry wind that descends with great suddenness from mountains. The foehn, known in the Alps for centuries, is a feature common to all major mountain regions formed as synoptic winds blow over a mountain crest and down the lee-side (Barry 1992). In North America it is called the "Chinook;" in the Argentine Andes the "zonda;" in New Zealand the "Canterbury north wester;" in New Guinea the �warm braw;� in Japan the �yamo oroshi;� in the Barison Mountains of Sumatra the �bohorok;� the �halny wigtr� in Poland; the �autru� in Romania; other mountain regions have their own local names for it (Brinkman 1971; Forrester 1982). The �Santa Ana� of southern California forms in a similar fashion (Kasper 1981). The foehn produces distinctive weather: gusts of wind, high temperatures, low humidity, and very transparent and limpid air (Brinkman 1971; Pettre 1982). When viewed through the foehn, mountains frequently take on a deep blue or violet tinge and seem unnaturally close and high, because light rays are refracted upward through layers of cold and warm air. The bank of clouds that typically forms along the crest line is associated with the precipitation failing on the windward side. This bank of clouds remains stationary in spite of strong winds and is known as the foehn wall (when viewed from the lee side). The following is an early naturalist's description of the foehn in Switzerland: In the distance is heard the rustling of the forests on the mountains. The roar of the mountain torrents, which are filled with an unusual amount of water from the melting snow, is heard afar through the peaceful night. A restless activity seems to be developing everywhere, and to be coming nearer and nearer. A few brief gusts announce the arrival of the foehn. These gusts are cold and raw at first, especially in winter, when the wind has crossed vast fields of snow. Then there is a sudden calm, and all at once the hot blast of the foehn bursts into the valley with tremendous violence, often attaining the velocity of a gale which lasts two or three days with more or less intensity, bringing confusion everywhere; snapping off trees, loosening masses of rock; filling up the mountain torrents; unroofing houses and barns a terror in the land. (Quoted in Hann 1903, p. 346) The primary characteristics of the foehn are a rapid rise in temperature, gustiness, and an extreme dryness that puts stress on plants and animals and creates a fire hazard (Ives 1950; Brinkman 1971; Marcus et al. 1985; Spronken-Smith 1998). Forests, houses, and entire towns have been destroyed during foehn winds clock up to 195 km/h (Reid and Turner 1997). For this reason, smoking and fires (even for cooking) have traditionally been forbidden in many villages in the Alps during the foehn. In some cases special guards (F�hnw�chter) were appointed to enforce the regulations. In New Zealand foehn winds commonly entrain glacial sediments causing dust storms and degrading grasslands (McGowan and Sturman 1996b). The foehn is purported to cause various psychological and physiological reactions, including a feeling of depression, tenseness, and irritability, and muscular convulsions, heart palpitations, and headaches. The suicide rate is said to rise during the foehn (Berg 1950). These symptoms have rarely been observed in North America, and medical explanations remain elusive. In spite of its disadvantages, the foehn is generally viewed with favor, since it provides respite from the winter's cold and is very effective at melting snow (Ashwell and Marsh 1967), a fact reflected in many local sayings from the Alps: "if the foehn did not interfere, neither God nor his sunshine would ever be able to melt the winter snows"; "The foehn can achieve more in two days than the sun in ten"; "The wolf is going to eat the snow tonight" (De La Rue 1955, pp. 36 44). In North America, the value of the chinook for the Great Plains was poignantly illustrated by the painting "Waiting for a Chinook," by Charles M. Russell. During the winter of 1886, cattle and sheep died by the thousands in Montana in one of the worst snowstorms on record. Russell, a cowboy on a large ranch there, received a letter from his alarmed employers in the East, asking about the condition of their stock. Instead of writing a reply, he made a watercolor sketch of a nearly starved steer standing in deep snow unable to find food, with coyotes waiting nearby (Fig. 4.38). The picture soon became famous and so did Russell; "Waiting for a Chinook" remains his best known painting (Weatherwise 1961). The causes of the foehn are complex. One of the early explanations in the Alps was that the warm dry wind came from the Sahara Desert. The wind was usually from the south, so this seemed a perfectly logical solution, until one day somebody climbed to the side of the mountain from which the foehn was coming and found that it was raining there, a very unlikely effect for a Saharan wind to produce! The Austrian climatologist Julius Hann (1866, 1903) is given credit for the true explanation. When air is forced up a mountain slope, it is cooled at the dry adiabatic rate, 3.05 �C p e r 3 0 0 m ( 5 . 5 �F p e r 1 , 0 0 0 f t . ) u n t i l t h e d e w p o i n t i s r e a c h e d a n d c o n d e n s a t i o n b e g i n s . F r o m t h i s p o i n t o n , t h e a i r i s c o o l e d a t a l o w e r r a t e ( w e t a d i a b a t i c r a t e ) o f a p p r o x i m a t e l y 1 . 7 �C ( 3 �F ) ( F i g . 4 . 3 9 ) . O n t h e l e e s i d e o f t h e s u m m i t , p r e c i p i t a t i o n c e a s e s a n d t h e a i r b e g i n s t o d e s c e n d . U n d e r t h e s e c o n d i t i o n s , t h e a i r i s w a r m e d a t t h e d r y a d i a b a t i c r a t e , 3 . 0 5 �C p e r 3 0 0 m ( 5 . 5 �F p e r 1 , 0 0 0 f t . ) t h e e n t i r e l e n g t h o f i t s d e s c e n t . C o n s e q u e n t l y , t h e a i r h a s t h e p o t e n t i a l f o r a r r i v i n g a t t h e v a l l e y f l o o r o n t h e leeward side warmer than its original temperature at the same elevation on the windward side (Fig. 4.39). While this general model has been widely demonstrated, many foehn winds involve site specific processes (Barry 1992). The foehn develops only under specific pressure conditions (Hoinka 1985; McGowan and Sturman 1996b). The typical situation is a ridge of high pressure on the windward side and a trough of low pressure on the leeward, creating a steep pressure gradient across the mountain range. Under these conditions the air may undergo the thermodynamic process just described in a relatively short time. In order for there to be a true foehn, however, the wind must be absolutely warmer than the air it replaces (Brinkman 1971). Either side of the mountains may experience a foehn, depending upon the orientation of the range and the development of the pressure systems. In the Alps there is a south foehn that affects the north side of the mountains and comes from the Mediterranean, and a north foehn that comes from northern Europe and affects the south side of the Alps. Because of its original warmth, the south foehn is much more striking and more frequent than the north foehn, which has to undergo much greater warming to make itself felt (Defant 1951). Similarly, in western North America most chinook winds occur on the east side of the mountains, because of the prevailing westerly wind and its movement over the Pacific Ocean, which is considerably warmer in winter than the continental polar air characteristic of the Great Basin and High Plains. Chinooks do occur, although less frequently, on the western side of the mountains (Ives 1950; Cook and Topil 1952; McClain 1952; Glenn 1961; Longley 1966,1967; Ashwell 1971; Riehl 1974; Bower and Durran 1986). Bora, Mistral, and Similar Winds. Like the foehn, these winds descend from mountains onto adjacent valleys and plains but, unlike the foehn, they are cold. Compressional heating occurs, but it is insufficient to appreciably warm the cold air that blows from an interior region in winter across the mountains to an area that is normally warmer. These winds and others like them are basically caused by the exchange of unlike air across a mountain barrier. The �bora� is a cold, dry north wind on the Adriatic coast of Dalmatia. It reaches its most intense development in winter and originates from high pressure, cold continental air in southwestern Russia that results in air movement southward across Hungary and the Dinaric Alps (Smith 1987; Durran 1990). Ideal conditions for the bora exist when a southerly wind has brought exceptionally warm conditions to the Adriatic coast, and relatively large temperature and pressure differentials exist between the coast and the interior. Under these conditions, the cold continental air may move down the pressure gradient, steepened by the presence of the mountains, with extraordinary violence (Yoshino 1975; Pettre 1982). It frequently reaches gale force, especially when channeled through narrow valleys and passes. The bora has been known to overturn haywagons, tear off roofs, and destroy orchards. It is even claimed that it once overturned a train near the town of Klis (De La Rue 1955). The �mistral� occurs in Provence and on the French Mediterranean coast (Jansa 1987). It is caused by the movement of cold air from high pressure areas in the north and west of France toward low pressure areas over the Mediterranean between Spain and Italy in the Gulf of Lyon. It is as violent as the bora, or more so, since it must pass through the natural constriction between the Pyrenees and the western Alps (Defant 1951). The mistral was known in ancient times. The Greek geographer Strabo called it "an impetuous and terrible wind which displaces rocks, and hurls men from their chariots" (De La Rue 1955, p. 32). Its effects extend throughout Provence and may be felt as far south as Nice. Like the bora, the mistral poses a major problem for fruit production, and great expenditures of human labor have gone into constructing stone walls and other windbreaks to protect the orchards (Gade 1978). The greatest wind velocities occur in the Rh�ne Valley, where wind speeds of over 145 km (90 mi.) per hour have been recorded. Although the bora and mistral are the most famous, similar cold dry winds occur in many mountain areas (Forrester 1982). The �bise� (breeze) at Lake Geneva between the Alps and the French �Jura� is of the same type, and numerous examples could be cited from the large mountain gaps and passes of Asia (Flohn 1969b). �Helm� winds blow down from the Pennine Chain in north-central England, often creating rolls of clouds. �Sno� winds fill the fjords of Scandinavia during winter and the �oroshi� blows near Tokoyo (Yoshino 1975). In North America, the "northers" of the Gulf of Tehuantepec, Mexico, are a similar phenomenon (Hurd 1929). Another example is the exchange of the cold air during winter between the east and west sides of the Cascade Mountains along the Columbia River Gorge (recently term the �Coho� wind) and the Fraser River Valley. This is most pronounced when an outbreak of cold Arctic air moves southward and banks up against the east side of the Cascades, causing great temperature and pressure contrasts between the cold continental air and the relatively warm Pacific air. At these times cold air is forced through these sea level valleys at high velocities and brings some of the clearest and coldest weather of the winter to the cities of Vancouver, British Columbia, and Portland, Oregon (both located at valley mouths). At other times the cold air may force the warm coastal air aloft and produce locally heavy snowfall. The most dominant feature, however, is the cold and ferocious wind that leaves its mark on the landscape in the brown and deadened foliage of needle-leaf trees and in the strongly flagged and wind-shaped trees on exposed sites (Lawrence 1938). Lee Waves. The behavior of airflow over an obstacle depends largely on the vertical wind profile, the stability structure, the shape of the obstacle and the surface roughness (Stull 1988; Barry 1992; Romero et al 1995). When wind passes over an obstacle, its normal flow is disrupted and a train of waves may be created that extends downwind for considerable distances (Figs. 4.26 and 4.39). The major mountain ranges produce large amplitude waves that extend around the globe (Hess and Wagner 1948; Gambo 1956; Nicholls 1973; Vosper and Parker 2002). On a smaller scale, these waves take on a regional significance reflected in their relationship to the foehn, in distinctive cloud forms, in upper air turbulence and downwind climate (Scorer 1961, 1967; Reiter and Foltz 1967; Wooldridge and Ellis 1975; Smith 1976; Durran 1990; Reynolds 1996; Reinking et al 2000). The amplitude and spacing of lee waves depends on the wind speed and the shape and height of the mountains, among other factors. An average wavelength is between 2 40 km (1 25 mi.), the vertical amplitude is usually between 1 5 km (0.6 3 mi.), and occurs at altitudes of 300 7,600 m (1,000 25,000 ft.) (Hess and Wagner 1948; Durran 1990). Wind speeds within lee waves are quite strong, frequently exceeding 160 km (100 mi.) per hour (Scorer 1961). The most distinctive visible features of lee waves are the lenticular (lens shaped) or lee wave clouds that form at the crests of waves (Fig. 4.41). These are created when the air reaches dew point and condensation occurs as the air moves upward in the wave (Ludlam 1980). The clouds do not form in the troughs of the waves, since the air is descending and warming slightly (Fig. 4.40). The relatively flat cloud bottoms represent the level of condensation, and the smoothly curved top follows the outline of the wave crest. The clouds are restricted in vertical extent by overlying stable air (Vosper and Parker 2002). Lenticular clouds are relatively stationary (hence the name "standing wave clouds"), although the wind may be passing through them at high speeds. Lee wave clouds frequently develop above one another, as well as in horizontal rows (Fig. 4.41; cf. Fig. 4.40). They typically consist of 1 5 clouds and extend only a few kilometers downwind, but satellite photography has revealed series of 30 40 clouds extending for several hundred kilometers (Fig. 4.43; Fritz 1965; Bader et al. 1995). Much of the early knowledge about lee waves was acquired by glider pilots who found to their surprise that there was often greater lift to the lee of a hill than on the windward side. The pilots had long made use of upslope and valley winds, but by this method could never achieve a height of more than a couple of hundred meters above the ridges. In southern England, the members of the London Gliding Club had soared for years in the lift of a modest 70 m (230 ft.) hill, never achieving more than 240 m (800 ft.). After discovering the up-currents in the lee wave, however, one member soared to a height of 900 m (3,000 ft.), thirteen times higher than the hill producing the wave (Scorer 1961). German pilots were the first to explore and exploit lee waves fully. In 1940, one pilot soared to 11,300 m (37,400 ft.) in the lee of the Alps. The world's altitude record of 13,410 m (44,255 ft.) was set in 1952 in the lee of the Sierra Nevada of California. This range has one of the most powerful lee waves in the world, owing to its great altitudinal rise and the clean shape of its east front (Scorer 1961). Another aspect of lee waves is the development of rotors. These are awesome roll-like circulations that develop to the immediate lee of mountains, usually forming beneath the wave crests (Fig. 4.40). The rotor flow moves toward the mountain at the base and away from it at the top (Tampieri 1987). It is marked by a row of cumulus clouds but, unlike ordinary cumulus, they may contain updrafts of 95 km (60 mi.) per hour (Fig. 4.44). The potential of such a wind for damage to an airplane can well be imagined. The height of the rotor clouds is about the same as that of the crest cloud or foehn wall. The rotating motion is thought to be created when the lee waves reach certain amplitude and frictional drag causes a roll-like motion in the underlying air (Fig. 4.40; Scorer 1961, 1967). Several other kinds of turbulence may be associated with lee waves, particularly when the wave train produced by one mountain is augmented by that of another situated in the right phase relationship (Fig. 4.45). In some cases they cancel each other; in others they reinforce each other. Wind strength and direction are also important, since a small change in either one can alter the wave length of two superposed wave trains so that they become additive and create violent turbulence (Scorer 1967; Lilly 1971; Lester and Fingerhut 1974; Neiman et al 2001). One example of this is where the energy in standing waves is caused to "cascade" down from a wavelength of 10 km (6 mi.) to only a few hundred meters (Reiter and Foltz 1967). Microclimates In addition to the climatic characteristics reviewed above, it should be emphasized there are substantial variations in climates over very short distances within mountains. Mountain environments are exceedingly spatially complex in terms of vegetation types and structures, geology, soils, and topography. All vary in composition (i.e. species, canopy characteristics or rocktypes), and variations occur across a range of slopes and aspects. The climate over each of these surfaces, or microclimate, can differ significantly due to the variations net radiation, soil and air temperature; humidity, precipitation accumulation (amount and form) and soil moisture; and winds (Barry and Van Wie 1974; Green and Harding 1980; Fitzharris 1989). Large differences in temperature, moisture and wind can be found within a few meters, or even centimeters (Turner 1980; McCutchan and Fox 1986). The thin atmosphere at high elevation means surfaces facing the sun on a clear day can warm dramatically, but shaded surfaces remain cold (Fig. 4.23; Germino and Smith 2000). Other effects may arise according to valley orientation with respect to the mountain range, valley cross-profile, and the affect of winds and cold air drainage. The effect of aspect in generating slope winds can exceed the influence of elevation on wind velocity and temperature (McCutchan and Fox 1986). The mosaic of microclimates determines the local variability in ecosystem processes. The distribution of vegetation zones, and even individual species may follow the distribution of microclimates (Fig. 4.8; Canters, et al 1991; Roberts and Gilliam 1995; Parmesan 1996). A simple classification using solar receipt, wind exposure, depth of winter snow cover and density and height of vegetation cover, can help to characterize alpine microclimates (Turner 1980). On this basis the following general microclimates can be differentiated: Sunny, windward slope � solar radiation and windspeeds high Sunny, lee slope � solar radiation high, windspeeds low Shaded, windward slope � solar radiation low, windspeeds high Shaded, lee slope � solar radiation and windspeeds low. Certainly there are gradients between these categories. Precipitation and runoff inputs with alter the soil moisture regime of each site, but generally the list goes from dry to moist. Vegetation creates its own microenvironment by creating shade and windbreaks (Fig. 4.32). In association with wind regime is a recurring pattern of snow accumulation in the lee of obstacles. These snowdrifts add to soil moisture during the melt season, and protect trees from freezing in winter (Wardle 1974). The resolution of most weather station networks in mountains is far too coarse to capture the spatial variability of climates in mountains. Maps of climatic variables are often interpolated from existing meager data sets, using assumed or empirical relationships with elevation (Peck and Brown 1962; Kyriakidis et al. 2001). These models are unable to demonstrate local deviations in trends, and when combined with map scale, microclimates are typically eliminated from most maps of mountains. Likewise, vegetation maps of mountainous areas rarely show the small patches of vegetation that occurs in microclimatic habitats. While these features may be un-mappable, they are certainly observable in mountains, adding to the spender of multifaceted mountain environment. Climate Change and Variability Variability of climatic phenomenon is an important natural component of earth's climate system. Climatic variability (occurrence of certain climatic events) is different than climatic change, which is a permanent change in climatic conditions. However, changes in variability are a likely result of climatic change. The middle and high latitudes inherently have very variable climates since they are influenced by large seasonal changes in energy. The equatorial region experiences little variability, as it has nearly the same energy fluxes year round. Reflecting the complexity of the climate system, most regions of the world show different patterns and magnitudes of variability and trends through time (Karl et al. 1999). All temporal climate records demonstrate some degree of interannual variability (e.g. Karl et al. 1999; Liu and Chen 2000; Kane 2000; Peterson and Peterson 2001). Every mountain location has its record high and low temperature, snowfall, rain event, drought, and wind speed. While these extreme events are rare, they often occur with a greater frequency, and with more extreme magnitudes in mountainous regions, than in lowlands (Frei and Schar 2001). Extreme storm events are exasperated by the topographic setting of mountains, producing even higher precipitation totals, lower temperatures, and higher wind velocities. Extreme precipitation events in mountains are of significance because they lead to hazards, such as downstream flooding, soil erosion and mass-movements on slopes (Ives and Messerli 1989; Rebetez et al. 1997). Temperature, precipitation and the resulting runoff variations are often related to distant forcing mechanisms such as the El Ni�o/Southern Oscillation (Dettinger and Cayan 1995; Cayan et al. 1998; 1999; Diaz et al. 2001; Clare et al. 2002; Rowe et al. 2002). Several other periodic, yet chaotic perturbations to the climate system have been linked to increased climatic variability (McCabe and Fountain 1995; Mantua et al. 1997; Fowler and Kilsby 2002). Among the regional differences in variability, the following consistent temporal trends emerge in data sets over the last century: the number of extremely warm summer temperatures has increased a small amount, the number of extremely cold winter temperatures has clearly decreased (with fewer frost days), and mean summer season precipitation has increased, especially an increase in heavy precipitation events (Karl et al. 1999). All of these general trends have temporally reversed during the period of record. So while variability is expected, changes in frequency of occurrence of extreme events is recognized as a signal of ongoing climate change (NAST 2001). Climate changes are well-documented to have occurred in the geologic past, as illustrated by the glacial and inter-glacial climates of the Pleistocene (COHMAP 1988; Petit et al. 1999). General scientific consensus states that the climate is currently changes, namely warming due to anthropogenic inputs of greenhouse gases to the atmosphere (IPCC 2001; NAST 2001). Different magnitudes of warming, and even cooling, are predicted for different mountainous regions of the world (IPCC 2001). Precipitation, in particular, is predicted to both increase and decrease in different regions due to changes in general circulation (Schroeder and McGuirk 1998). Climate models in mountainous regions, however, tend to be rather poor, due to coarse resolution, topographic smoothing and local effects not captured by the models (Brazil and Marcus 1991; Sinclair 1993). In mountains, higher temperatures would cause both a higher percentage of annual precipitation to fall as rain (i.e. higher snowlines), as well as accelerate summer ablation (Barry 1990; Groisman etal. 1999). Characterizing the exact climatic impacts to any mountain site is difficult. We can however, demonstrate that past, and likely future climatic changes and variations are likely to have major impacts in mountain environments. Mountain and glacier environments are especially sensitive to climate changes and variability (Barry 1990; Willis and Bonvin 1995). Many climate changes have been detected in mountain records (e.g. Shrestha et al. 1999; Cayan et al. 2001; Pepin and Loaleben 2002). Changes in winter precipitation and summer temperatures will alter the rate and extent to which snowlines migrate up and down slope and contribute to glacier mass-balance and runoff (Rebetez 1995; Clare et al. 2002). Seasonal snow packs in the Northern Hemisphere have significantly declined over recent years (Cayan 1996; Robinson and Frei 2000). Glaciers are likely to experience negative mass, which will contribute more water to melt-season runoff and cause the glacier to retreat. Glacier recession will have an impact on local climatic conditions, such and energy and moisture exchanges and the generation of local winds. Measurements of alpine glacier mass-balances globally have documented retreats in recent decades (Haeberli et al. 1989; Marsten et al. 1989; Harper 1993; Bedford and Barry, 1995; Chambers 1997; Cogley and Adams 1998; McGabe and Fountain, 1995; Pelto 1996; Rabus and Echelmeyer 1998; McCabe et al. 2000). As a result, downstream runoff characteristics (i.e. seasonality and magnitude) may change appreciably over the next several decades. If glaciers entirely disappear from mountains, than melt-season, especially late melt-season discharge will decrease substantially (Fig. 4.30). Glaciers are estimated to provide 6-20% of annual runoff in some rivers (Aizen et al. 1995; Bach in review). Even climate changes in non-glacierized, low mountains can have a significant impact on municipal water supplies (Frie et al. 2002). Land-use changes in mountains, especially urbanization, logging and hydrolake development can have significant impacts upon the regional and microclimates in mountains (Goulter 1990; Roberts and Gilliam 1995; McGowan and Sturman 1996a). These environmental disturbances can have long-term influences on climates since they change the surface characteristics and energy and moisture fluxes. Hydrolakes have been found to moderate temperatures, increase atmospheric water vapor content and precipitation, and increase windiness by decreasing surface roughness and developing their own wind systems (Goulter 1990; McGowan and Sturman 1996a). Since many organisms living in mountains survive near their tolerance range for climatic conditions, even minor climatic changes could have a significant impact on alpine ecosystems (Grabher et al. 1994; Graumlich 1994; Parmesan 1996; Peterson 1998; Gottfried et al. 1998; Mizuno 1998; NAST 2001). Vegetation zones will migrate altitudinally in response to warming temperatures, possibly eliminating some biomes, although the adaptations will likely be more complex (Rochefort et al. 1994; Neilson and Drapek 1998). Treelines in many mountainous regions have been responding to recent temperature changes (MacDonald et al. 1998; Kullman and Kjallgren 2000; Marlow et al. 2000; Pallatt et al. 2000; Peterson and Peterson 2001; Klasner and Fagre 2002). Trees are invading into meadows (Rochefort et al. 1994; Gavin and Brubaker, 1999; Wearne and Morgan 2001). Complex topography will result in habitat fragmentation and the creation of barriers to migration, making it difficult for some species to adapt and allowing others, often evasive species, to expand their range. There is a chance that Quaking Aspen and Engleman Spruce of the North American western mountains might not survive under projected climate changes (Hansen et al. 2001). In response to the habitat changes, wildlife also migrates to find appropriate climatic niches (Happold 1998; Hansen et al. 2001; Wang et al. 2002). Because of microclimatic complexity, populations or individuals could readily be insolated on individual slopes or peaks, as the mountain environment increases in fragmentation (Fig. 4.8; Neilson and Drapek 1998). Since this climate shift is occurring rapidly, some species may not be able to adapt or migrate quickly enough (Grabher et al. 1994). It is probable that some alpine and cold-water fish species will not survive climatic changes, and new water temperatures will allow for the invasion of non-native fish species (Grimm et al. 1997). Pacific salmon, which migrate to and spawn in some mountains, have experienced population fluctuations related to climate (Mantua et al. 1997; Downton and Miller 1998). 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The general distribution of global atmospheric pressure systems and general circulation of the atmosphere. These winds dictate global climatic patterns associated with latitude. The general latitudinal climatic zones are shown along the right side of the diagram. Fig. 4.3. Generalized profile showing the decrease of atmospheric pressure with altitude. (Adapted from several sources) Fig. 4.4 The influence of the Olympic Mountains on the wind field and precipitation. The arrows are flow lines indicating wind direction. Distance between the flow lines indicates relative speed, the closer they are to one another the faster the wind in that region. Notice that the flow lines are evenly spaced over the Pacific Ocean. As they are deflected through the Strait of Juan de Fuca, the wind speed increases. Also notice that winds are funneled up the western valleys of the Olympics, concentrating moist air and increasing precipitation at the Hoh Rain Forest (3800 mm), while Sequim only receives 430 mm in the rain shadow. (Author) Fig. 4.5. Spectral distribution of direct solar radiation at the top of the atmosphere and at sea level. Calculations are for clear skies with the sun directly overhead. Also shown is the spectral distribution of cloud light and sky light. The graph is plotted on a wave number scale in cm 1 that is the reciprocal of the wavelength and is directly proportional to the frequency of light, to allow display of the full spectrum (a wavelength plot has difficulty including the visible and infrared together). T h e t o t a l a r e a u n d e r t h e u p p e r c u r v e i s t h e s o l a r c o n s t a n t , 2 . 0 c a l . c m - 2 m i n - 1 ( 1 3 6 5 W / m 2 ) . ( A f t e r G a t e s a n d J a n k e 1 9 6 6 , p . 4 2 ) F i g . 4 . 6 . S p e c t r a l t r a n s m i s s i v i t y o f t h e a t m o s p h e r e a t 4 , 2 0 0 m ( 1 4 , 0 0 0 f t . ) a n d a t s e a l e v e l f o r l a t i t u d e 4 0 �N a t s u m m e r a n d winter solstice. The attenuation shown here is for clear skies and is due entirely to ozone absorption. When the effects of dust, water vapor, and other impurities are included, the difference in transmissions between high and low elevations becomes considerably greater. (After Gates and Janke 1966, p. 45) Fig. 4.7. Direct solar radiation (Cal. cm 2 hr 1) received on different slopes during clear weather at 50 � N . l a t . T h r e e s l o p e s a r e s h o w n : n o r t h , s o u t h , a n d e a s t - f a c i n g ( w e s t w o u l d b e a m i r r o r i m a g e o f e a s t ) , f o r s u m m e r a n d w i n t e r s o l s t i c e a n d e q u i n o x ( v e r n a l i s a m i r r o r i m a g e o f a u t u m n a l ) . T h e l e f t h a n d s i d e o f e a c h d i a g r a m s h o w s t h e d i s t r i b u t i o n o f s o l a r e n e r g y o n a h o r i z o n t a l s u r f a c e ( 0 � g r a d i e n t ) a n d i s t h e r e f o r e i d e n t i c a l f o r e a c h s e t o f 3 i n t h e s a m e c o l u m n . T h e r i g h t h a n d s i d e o f e a c h d i a g r a m r e p r e s e n t s a v e r t i c a l w a l l ( 9 0 � g r a d i e n t ) . T h e t o p o f e a c h d i a g r a m s h o w s s u n r i s e a n d t h e b o t t o m s h o w s s u n s e t . A s c an be seen, the north- and south facing slopes experience a symmetrical distribution of energy, while the east and west reveal an asymmetrical distribution. Thus, on the east facing slope during summer solstice the sun begins shining on a vertical cliff at about 4:00 a.m and highest intensity occurs At 8:00 a.m. By noon the cliff passes into shadow. The opposite would hold true for a west facing wall: it would begin receiving the direct rays of the sun immediately past noon. The bottom row of diagrams illustrates a south -facing slope. During equinox days and nights are equal, so the distribution of energy is equal. During winter solstice the sun strikes south facing slopes of all gradients at the same time (sunrise), but during summer the sun rises farther to the northeast, so some time elapses before it can shine on a south facing slope. This difference in time increases with steeper slopes: for example, a 30 � s o u t h f a c i n g s l o p e w o u l d r e c e i v e t h e s u n a t a b o u t 5 : 0 0 a . m . a n d w o u l d p a s s i n t o s h a d o w a t a b o u t 6 : 3 0 p . m . , w h i l e a 6 0 � s o u t h f a c i n g s l o p e w o u l d r e c e i v e t h e s u n a t 6 : 3 0 a . m . ( 1 1 / 2 h r s . l a t e r ) a n d t h e s u n w o u l d s e t a t 5 : 3 0 p . m . ( 1 h r . e a r l i e r ) . O n a n o r t h f a c i n g s l o p e ( t o p r o w o f d i a g r a m s ) d u r i n g s u m m e r , s l o p e s u p t o 6 0 � r e c e i v e t h e s u n a t t h e s a m e t i m e , b u t i f t h e s l o p e i s g r e a t e r t h a n 6 0 % t h e s u n c a n n o t s h i n e o n i t a t n o o n ; h e n c e t h e " n e c k " c u t o u t o f t h e r i g h t h a n d m a r g i n . S t e e p n o r t h f a c i n g s l o p e s a t t h i s l a t i t u d e w o u l d o n l y r e c e i v e t h e s u n e a r l y i n t h e m o r n i n g a n d l a t e i n t h e e v e n i n g . D u r i n g t h e w i n t e r s o l s t i c e o n l y n o r t h f a c i n g s l o p e s w i t h g r a d i e n t s o f l e s s t h a n 1 5 � w o u l d r e c e i v e a n y s u n a t a l l . ( A f t e r G e i g e r 1 9 6 5 , p . 3 7 4 ) F i g . 4 . 8 . T o p o - a n d m i c r o - c l i matic influences of slope and aspect on vegetation types. The northern hemisphere example is given where more solar receipt on south-facing slopes warms temperatures to where forest is replaced by grass. North-facing slopes are shaded and cooler with more soil moisture retention and thicker forests. On a larger scale, forests move down valleys following moisture and cooler temperatures created by cold air drainage. (After Kruckeberg 1991) Fig. 4.9. Settlement in relation to noonday shadow areas during winter in the upper Rh�ne Valley, Switzerland. (From Garnett 1935, p. 602) Fig. 4.10. View of an east west valley near Davos, Switzerland, showing settlement and clearing on the sunny side (south facing), while the shady side (north-facing) is left in forest. (Larry Price) Fig. 4.11. Mean annual temperature with altitude in the southern Appalachian Mountains. Dots represent U.S. Weather Bureau First Order Stations in Tennessee and North Carolina. Temperatures were calculated for period 1921 1950. (Adapted from D i c k s o n 1 9 5 9 , p . 3 5 3 ) F i g . 4 . 1 2 . D i s t r i b u t i o n o f m e a n a n n u a l t e m p e r a t u r e ( �C ) i n a t r a n s e c t a c r o s s t h e M e x i c a n M e s e t a f r o m M a z a t l a n t o V e r a c r u z . T h e t e m p e r a t u r e o v e r t h e p l a t e a u a t 3 , 0 0 0 m ( 1 0 , 0 0 0 f t . ) i s a b o u t 3 �C ( 5 . 4 �F ) h i g h e r t h a n o v e r t h e c o a s t a l s tations, owing to greater heating of the elevated land mass. (Adapted from Hastenrath 1968, p.123) Fig. 4.13. Rice terraces on steep slopes in the Himalayas, near the upper limit for rice cultivation. Most are dry terraces; those in lower left are fed by a spring in the slope and are used for growing wet rice. A village is situated among the dry terraces in the upper part of the slope. The somewhat muted terraces to the right are apparently former terraces that have been abandoned. (Harold Uhlig, University o f G i e s s e n ) F i g . 4 . 1 4 . C r o s s s e c t i o n o f a n e n c l o s e d b a s i n , G s t e t t n e r a l m , i n t h e A u s t r i a n A l p s , s h o w i n g a t e m p e r a t u r e i n v e r s i o n i n e a r l y s p r i n g . E l e v a t i o n o f v a l l e y b o t t o m i s 1 , 2 7 0 m ( 4 , 1 6 5 f t . ) . N o t e i n c r e a s e i n t e m p e r a t u r e ( �C ) w i t h e l e v a t i o n a b o v e v a l ley floor, especially the rapid rise directly above the pass. This results from the colder air flowing into a lower valley at this point. (After Schmidt 1934, p. 347) Fig. 4.15. Diurnal temperature range at different elevations on Mount Fuji, Japan. The difference between high and low altitudes is much more exaggerated in winter (left) than in summer (right). (After Yoshino 1975, p. 193) Fig. 4.16. Vertical profile of soil and air temperatures ( �C ) u n d e r c l e a r s k i e s o n a w e l l d r a i n e d a l p i n e t u n d r a s u r f a c e a t 3 , 5 8 0 m ( 1 1 , 7 4 0 f t . ) i n t h e W h i t e M o u n t a i n s o f C a l i f o r n i a . N o t e t h e t r e m e n d o u s g r a d i e n t o c c u r r i n g i m m e d i a t e l y a b o v e a n d b e l o w t h e s o i l s u r f a c e . T h e s l i g h t l y h i g h e r t e m p e r a t u r e s a t a d e p t h o f 25 30 cm (10 12 in.) are a result of the previous day's heating and are out of phase with present surface conditions. (After Terjung et al. 1969a, p. 256) Fig. 4.17. Daily and seasonal temperature distribution in a subarctic continental (a) and alpine tropical (b) climate. The opposite orientation of the isotherms reflects the fundamental differences in daily and seasonal temperature ranges in the two contrasting environments. The subarctic continental station (a) experiences a small daily temperature range (read vertically) but a large annual range (read horizontally). Conversely, the high altitude tropical station (b) experiences a much greater daily temperature range than the annual range. (Adapted from Troll 1958a, p. 11) Fig. 4.18. Freeze thaw regimes at different latitudes and altitudes. Frost free days indicate the number of days when freezing did not occur, ice days are those when the temperature was continually below freezing, and frost alternation days are the days when both freezing and thawing occurred. Note that the greatest number of these occur in tropical mountains. (Adapted from Troll 1958a, pp. 12 13) Fig. 4.19. Average annual absolute humidity (mass of water vapor per unit volume, g/m3) with elevation on the humid eastern and arid western side of the tropical Andes. Horizontal lines provide a measure of the annual range of the monthly means of absolute humidity. The extremes are largely a reflection of the wet and dry seasons. Profiles are calculated as a function of height, according to starting values at Lima and Amazonas, based on empirical formulas obtained from observations in the Alps. The tropical station data indicate that the decrease in vapor density with height is less pronounced than in middle latitudes. (Adapted from Prohaska 1970, p. 3) Fig. 4.20. Mean annual evaporation from reservoirs at different elevations in the Sierra Nevada of central California. (After Longacre and Blaney 1962, p. 42) Fig. 4.21. Diagrammatic representation of daily changes in relative humidity with altitude on northand south facing forested slopes during August in the mountains of northern Idaho. Dotted line represents the altitude where minimum relative humidities occur at different times during the twenty four hour cycle. Note that both the highest and lowest relative humidities occur in the valley bottoms, where the greatest temperature extremes are also found. (Adapted from Hayes 1941, p. 17) Fig. 4.22. Annual average precipitation. Fig. 4.23. Cross-section of atmosphere above the Santa Catalina M o u n t a i n s n e a r T u s c o n , A r i z o n a , o n a s u m m e r d a y i n 1 9 6 5 . M e a s u r e m e n t s w e r e m a d e b y f l y i n g t r a n s e c t s a c r o s s t h e r a n g e i n a n i n s t r u m e n t - e q u i p p e d a i r p l a n e . P r o f i l e s s h o w c h a n g e s i n m i x i n g r a t i o ( a m e a s u r e o f h u m i d i t y ) a n d t e m p e r a t u r e ( �K ) a t t h e d i f f e r e n t altitudes before sunrise (6:15 AM) and after sunrise (10:41 AM). Note that considerable warming, increased humidity, and increased instability of the air, all develop after sunrise, especially on the south side of the range. This leads to convectional lifting, cloud formation, and localized precipitation over the mountains. (After Braham and Draginis 1960, pp. 2-3) Fig. 4.24. Contribution of fog drip to precipitation during twenty eight week study period (October 1972 to April 1973) on the forested northeast slopes of Mauna Loa, Hawai�i. Numbers show precipitation totals in millimeters. Those in parentheses indicate fog drip. Percentages are the relative amounts contrib uted to the total by fog drip at each station. (After Juvik and Perreira 1974, p. 24) Fig. 4.25. R 5 R [ � � $ ( �# �# & |